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Open Recommendations (24 total)

Antidumping and Countervailing Duties: CBP Action Needed to Reduce Duty Processing Errors and Mitigate Nonpayment Risk

GAO-16-542
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1 Open Recommendations
1 Priority
Agency Affected Recommendation Status
United States Customs and Border Protection
Priority Rec.
To improve risk management in the collection of AD/CV duties, CBP should, consistent with U.S. law and international obligations, take steps to use its data and risk assessment strategically to mitigate AD/CV duty nonpayment, such as by using predictive risk analysis to identify entries that pose heightened risk and taking appropriate action to mitigate the risk.
Open – Partially Addressed
In 2016 and 2019 (see GAO-20-50R), we recommended CBP develop a risk-based framework to mitigate the risk of antidumping and countervailing duty (AD/CV) nonpayment. Subsequently, CBP took steps to develop such a framework, including the use of a risk-based single transaction bond (STB). However, in June 2021, CBP announced that it would not implement the risk-based STB due to the complexity of implementing the bond and legal obstacles. Instead, CBP announced that it would incorporate risk-based principles into its current process by leveraging existing authorities and completing several initiatives. As of March 2024, CBP had issued guidance for determining when to use an STB for AD/CV entries as well as guidance revoking the authority of CBP officials to permit persons suspended or debarred from using a continuous entry bond to secure customs activities, except in circumstances when a continuous bond is the only type of acceptable bond. CBP had also updated its Monetary Guidelines for Setting Bond Amounts and increased the number of personnel trained on bonding authority and enforcement actions. The Monetary Guidelines provide CBP officials with directions for setting the amount of the bond, determining bond sufficiency, and requiring additional security. As of March 2024, CBP officials said they were in the process of updating their regulation to formally allow the use of an electronic customs bond and were in the process of fully automating bond sufficiency checks. CBP officials said that the agency plans to complete both remaining initiatives by end of September 2024. The initiatives that CBP has taken and plans to take could help CBP mitigate the risk of AD/CV duty nonpayment but none of the initiatives use CBP's data and risk analysis strategically as GAO's recommendation intended.

Land Ports of Entry: CBP Should Update Policies and Enhance Analysis of Inspections

GAO-19-658
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1 Open Recommendations
Agency Affected Recommendation Status
United States Customs and Border Protection The Commissioner of CBP should review and update policies related to land port of entry inspections in accordance with Office of Field Operations guidance. (Recommendation 1)
Open – Partially Addressed
CBP concurred with the recommendation and, in January 2020, it assembled a working group to review and update policies. As of March 2023, CBP had updated its Personal Search Handbook and officials stated that additional policies were in the process of being updated. CBP stated that it intends to implement this recommendation by the end of April 2024. We will continue to monitor CBP's ongoing efforts to do so.

Department of Homeland Security: Components Could Improve Monitoring of the Employee Misconduct Process [Reissued with revisions on Sep. 4, 2018.]

GAO-18-405
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1 Open Recommendations
Agency Affected Recommendation Status
United States Customs and Border Protection The Commissioner of CBP should monitor the duration of all cases beginning-to-end by stage and by case type (Recommendation 4).
Open – Partially Addressed
In October 2018, CBP told us that it is currently updating one of its case management systems to better monitor cases beginning-to-end by stage and by case type. As of August of 2022, CBP has developed an internal management report that monitors the total duration of all misconduct cases beginning-to-end. However, this report does not include duration by all stages and by case type. In December of 2023, CBP told us that it had awarded a contract to transition to a new case management system. As of February 2024, we are continuing to follow up with CBP on its actions to implement this recommendation, including its planned transition in September 2024 to a new case management system.

Department of Homeland Security: Components Could Improve Monitoring of the Employee Misconduct Process [Reissued with revisions on Sep. 4, 2018.]

GAO-18-405
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2 Open Recommendations
Agency Affected Recommendation Status
United States Customs and Border Protection The Commissioner of CBP should monitor the timeliness of misconduct cases according to established targets for management inquiries, administrative inquiries, and criminal and non-criminal investigations using case management system data (Recommendation 5).
Open – Partially Addressed
In October 2018, CBP stated that it is currently updating one of its case management systems to better monitor the timeliness of misconduct cases according to established targets. As of September 2021, CBP's Office of Professional Responsibility developed an internal management report that includes information on timelines for certain case types. In September 2022, CBP stated that is planning to transition to a new case management system, which will help it monitor the timeliness of cases according to established targets. In December of 2023, CBP told us that it had awarded a contract to transition to a new case management system. As of February 2024, we are continuing to follow-up with CBP on its actions to implement this recommendation, including its planned transition in September 2024 to a new case management system.
United States Customs and Border Protection The Commissioner of CBP should define and document the case management system data fields to be used for monitoring all established performance targets and provide related guidance to staff (Recommendation 6).
Open – Partially Addressed
In October 2018, CBP stated that its Office of Professional Responsibility will define the case management system data fields used to measure established performance targets, and it will provide the appropriate guidance to staff. As of September 2021, CBP's Office of Professional Responsibility developed an internal management report that monitors certain performance targets. As of August 2022, CBP defined and documented the case management system data fields it uses to monitor certain performance targets. However, CBP has not defined and documented case management system data fields for all its establish performance targets. In January 2023, CBP stated that it is developing a new case management system. To close this recommendation, CBP needs to define and document the data fields in the new case management system to be used for monitoring all established performance targets and provide related guidance to staff. As of February 2024, we are continuing to monitor the status of this recommendation, including CBP's planned transition in September 2024 to a new case management system.

Facial Recognition Services: Federal Law Enforcement Agencies Should Take Actions to Implement Training, and Policies for Civil Liberties

GAO-23-105607
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1 Open Recommendations
Agency Affected Recommendation Status
United States Customs and Border Protection The Commissioner of CBP should assess whether training would benefit staff using facial recognition services to develop and share information in support of other agencies' criminal investigations, incorporating information on the extent to which staff use such services. (Recommendation 5)
Open
As of March 2024, this recommendation remains open. CBP officials said they discontinued use of facial recognition systems for CBP's Office of Field Operations at the end of fiscal year 2023. CBP officials also said they are creating a new training course that applies to the use of facial recognition regardless of the tool--government or commercially obtained. CBP anticipates completing these actions by May 2024. Once complete, we will review CBP's actions to determine the extent that they address the recommendation.

Facial Recognition Technology: Federal Law Enforcement Agencies Should Better Assess Privacy and Other Risks

GAO-21-518
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1 Open Recommendations
Agency Affected Recommendation Status
United States Customs and Border Protection The Commissioner of CBP should, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. (Recommendation 10)
Open
As of March 2024, this recommendation remains open. U.S. Customs and Border Protection (CBP) told us employees using IT systems are required to complete Privacy Threshold Assessments, which include information about collection, use, and retention of personally identifiable information. The Department of Homeland Security Privacy Office uses the Privacy Threshold Assessments to determine whether additional privacy compliance documentation is needed. CBP provided Privacy Threshold Assessments for two non-federal facial recognition systems. The agency also said it is drafting Privacy Impact Assessments for those two systems, including an assessment of the risks associated with the systems, with an estimated completion date in June 2024.

DHS Employee Misconduct: Actions Needed to Better Assess Differences in Supervisor and Non-Supervisor Discipline

GAO-24-105820
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1 Open Recommendations
Agency Affected Recommendation Status
United States Customs and Border Protection The Commissioner of CBP should revise CBP's disciplinary policies to ensure they collectively document the disciplinary adjudication process for all employees, including non-bargaining unit employees. (Recommendation 1)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.

Customs and Border Protection: Actions Needed to Enhance Acquisition Management and Knowledge Sharing

GAO-23-105472
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1 Open Recommendations
Agency Affected Recommendation Status
United States Customs and Border Protection The CBP Commissioner should update acquisition guidance, such as the PLP Guide, to accurately reflect how key governance councils are conducting portfolio management. (Recommendation 1)
Open
DHS did not agree with this recommendation, but stated in its April 2023 response to our report that the CBP Office of Acquisitions would be taking action that we believe will address the intent of our recommendation. As of July 2023, DHS has not taken action to address this recommendation. We will provide an update on the agency's progress once one is available.

DHS Employee Misconduct: Actions Needed to Better Assess Differences in Supervisor and Non-Supervisor Discipline

GAO-24-105820
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1 Open Recommendations
Agency Affected Recommendation Status
United States Customs and Border Protection The Commissioner of CBP should require LER supervisors to consistently use its training materials for training new LER specialists. (Recommendation 2)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
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