[House Report 117-233]
[From the U.S. Government Publishing Office]
117th Congress } { Report
HOUSE OF REPRESENTATIVES
2d Session } { 117-233
======================================================================
DEPARTMENT OF HOMELAND SECURITY INSPECTOR GENERAL TRANSPARENCY ACT
_______
January 21, 2022.--Committed to the Committee of the Whole House on the
State of the Union and ordered to be printed
_______
Mr. Thompson of Mississippi, from the Committee on Homeland Security,
submitted the following
R E P O R T
[To accompany H.R. 5633]
The Committee on Homeland Security, to whom was referred
the bill (H.R. 5633) to amend the Homeland Security Act of 2002
to enhance transparency regarding reports conducted by the
Inspector General of the Department of Homeland Security, and
for other purposes, having considered the same, reports
favorably thereon with an amendment and recommends that the
bill as amended do pass.
CONTENTS
Page
Purpose and Summary.............................................. 3
Background and Need for Legislation.............................. 4
Hearings......................................................... 5
Committee Consideration.......................................... 5
Committee Votes.................................................. 5
Committee Oversight Findings..................................... 5
C.B.O. Estimate, New Budget Authority, Entitlement Authority, and
Tax Expenditures............................................... 5
Federal Mandates Statement....................................... 5
Duplicative Federal Programs..................................... 6
Statement of General Performance Goals and Objectives............ 6
Congressional Earmarks, Limited Tax Benefits, and Limited Tariff
Benefits....................................................... 6
Advisory Committee Statement..................................... 6
Applicability to Legislative Branch.............................. 6
Section-by-Section Analysis of the Legislation................... 6
Changes in Existing Law Made by the Bill, as Reported............ 7
The amendment is as follows:
Strike all after the enacting clause and insert the
following:
SECTION 1. SHORT TITLE.
This Act may be cited as the ``Department of Homeland Security
Inspector General Transparency Act''.
SEC. 2. OFFICE OF INSPECTOR GENERAL OF THE DEPARTMENT OF HOMELAND
SECURITY.
(a) In General.--Subtitle B of title VIII of the Homeland Security
Act of 2002 is amended by inserting before section 812 the following
new section:
``SEC. 811. OFFICE OF INSPECTOR GENERAL.
``(a) Publication of Reports.--
``(1) In general.--Beginning not later than 30 days after the
date of the enactment of this section, the Inspector General of
the Department shall submit to the appropriate congressional
committees any report finalized on and after such date that
substantiates--
``(A) a violation of paragraph (8) or (9) of section
2302(b) of title 5, United States Code, section 1034 of
title 10, United States Code, or Presidential Personnel
Directive-19; or
``(B) an allegation of misconduct, waste, fraud,
abuse, or violation of policy within the Department
involving a member of the Senior Executive Service or
politically appointed official of the Department.
``(2) Public availability.--
``(A) In general.--Concurrent with the submission to
the appropriate congressional committees of reports
pursuant to paragraph (1), the Inspector General shall,
consistent with privacy, civil rights, and civil
liberties protections, publish on a publicly available
website of the Inspector General each such report.
``(B) Exception.--The requirement pursuant to
subparagraph (A) to publish reports does not apply if
section (5)(e)(1) of the Inspector General Act of 1978
applies to any such report.
``(3) Requirement.--
``(A) In general.--The Inspector General of the
Department may not redact any portion of a report
submitted pursuant to paragraph (1).
``(B) Exception.--The requirement under subparagraph
(A) shall not apply with respect to the name or any
other identifying information, including any contextual
details not relevant to the audit, inspection, or
evaluation at issue that may be used by other employees
or officers of the Department to determine the identity
of a whistleblower complainant, of a whistleblower
complainant who does not consent to the inclusion of
such in a report of the Inspector General.
``(b) Semiannual Reporting.--Beginning with the first semiannual
report transmitted to the appropriate committees or subcommittees of
the Congress pursuant to section 5(b) of the Inspector General Act of
1978 that is transmitted after the date of the enactment of this
section, each such report shall be accompanied by a list of ongoing
audits, inspections, and evaluations of the Department, together with a
narrative description relating to each such audit, inspection, or
evaluation that identifies the scope of such audit, inspection, or
evaluation, as the case may be, as well as the subject office,
component, or directorate of the Department. For each such ongoing
audit, inspection, or evaluation such narrative description shall
include the following:
``(1) Information relating to the source of each such audit,
inspection, or evaluation.
``(2) Information regarding whether each such audit,
inspection, or evaluation is being conducted independently,
jointly, concurrently, or in some other manner.
``(3) In the event each such audit, inspection, or evaluation
was initiated due to a referral, the date on which the
Inspector General notified the originator of a referral of the
Inspector General's intention to carry out such audit,
inspection, or evaluation.
``(4) Information relating to the dates on which--
``(A) each such audit, inspection, or evaluation was
initiated;
``(B) a draft report relating to each such audit,
inspection, or evaluation is scheduled to be submitted
to the Secretary for review; and
``(C) a final report relating to each such audit,
inspection, or evaluation is scheduled to be submitted
to the appropriate congressional committees and
published on the website of the Inspector General in
accordance with paragraphs (1) and (2), respectively,
of subsection (a).
``(5) An explanation for--
``(A) any significant changes to the narrative
description of each such audit, inspection, or
evaluation, including the identification of the subject
office, component, or directorate of the Department; or
``(B) a delay of more than 30 days in the scheduled
date for submitting to the Secretary a draft report for
review or publishing on the website of the Inspector
General of the Department the final report relating to
each such audit, inspection, or evaluation.
``(6) Data regarding tips and complaints made to the
Inspector General Hotline of the Department or otherwise
referred to the Department, including--
``(A) the number and type of tips and complaints
regarding fraud, waste, abuse, corruption, financial
crimes, civil rights and civil liberty abuse, or other
complaints regarding criminal or non-criminal activity
associated with fraud, waste, or abuse;
``(B) actions taken by the Department to address or
resolve each substantiated tip or complaint;
``(C) the total amount of time it took the Department
to so address or resolve each such substantiated tip or
complaint;
``(D) the total number of tips and complaints that
are substantiated compared with the number of tips and
complaints that are unsubstantiated; and
``(E) the percentage of audits, inspections, and
evaluations that are initiated as a result of tips and
complaints made to the Inspector General Hotline.
``(c) Notification to Congress.--The Inspector General of the
Department shall notify the Committee on Homeland Security of the House
of Representatives and the Committee on Homeland Security and
Governmental Affairs of the Senate if the head of an office or
component of the Department does not provide in a timely manner to the
Inspector General information or assistance that is requested by the
Inspector General to conduct an audit, inspection, or evaluation.
``(d) Definition.--In this section, the term `appropriate
congressional committees' means the Committee on Homeland Security of
the House of Representatives, the Committee on Homeland Security and
Governmental Affairs of the Senate, and any committee of the House of
Representatives or the Senate, respectively, having legislative or
oversight jurisdiction under the Rules of the House of Representatives
or the Senate, respectively, over the matter concerned.''.
(b) Clerical Amendment.--The table of contents in section 1(b) of the
Homeland Security Act of 2002 is amended by amending the item relating
to section 811 to read as follows:
``Sec. 811. Office of Inspector General.''.
(c) Reports.--
(1) Inspector general of dhs.--Not later than one year after
the date of the enactment of this Act, the Inspector General of
the Department of Homeland Security shall submit to the
Committee on Homeland Security of the House of Representatives,
the Committee on Homeland Security and Governmental Affairs of
the Senate, and the Comptroller General of the United States a
report on the policies, procedures, and internal controls
established that ensure compliance with the Quality Standards
for Federal Offices of Inspector General from the Council of
Inspectors General on Integrity and Efficiency.
(2) Comptroller general.--Not later than one year after
receipt of the report required under paragraph (1), the
Comptroller General of the United States shall submit to the
Committee on Homeland Security of the House of Representatives
and the Committee on Homeland Security and Governmental Affairs
of the Senate an evaluation of such report.
Purpose and Summary
H.R. 5633, the ``Department of Homeland Security Inspector
General Transparency Act,'' requires the Department of Homeland
Security (DHS) Office of Inspector General (OIG) to improve
transparency regarding its investigations for both the public
and Congress. It requires the Inspector General to provide
certain completed reports to Congress and publish them on the
OIG's website. To improve congressional oversight of OIG
activities, the bill further requires additional reporting to
Congress on ongoing audits, inspections, and evaluations. Such
reporting shall include data on tips and complaints made to the
IG Hotline, including descriptions of actions taken by DHS to
address complaints received. The bill also requires the
Inspector General to review and report on internal policies and
procedures to ensure they comply with best practices for
management and quality assurance.
Background and Need for Legislation
Across the Federal Government, Inspectors General are
charged with preventing and detecting waste, fraud, and abuse
relating to an agency's programs and operations, and to promote
economy, efficiency, and effectiveness in the agency's
operations and programs. With DHS, since 2002, the OIG has been
responsible for independent oversight and the promotion of
excellence, integrity, and accountability within the
Department.
In the spring of 2020, OIG whistleblowers reported to the
Committee that the Office planned to stop publishing reports
that substantiate allegations of whistleblower retaliation or
misconduct by senior DHS employees. After the senior OIG
officials confirmed to the Committee that this change in policy
was being considered, Chairman Bennie G. Thompson wrote to the
Inspector General in September to express his concerns that
such a change would reduce congressional and public
transparency into substantiated allegations of misconduct by
senior agency officials.\1\ The Chairman requested the IG not
make the proposed changes and to notify the Committee should
any changes in policy occur. Subsequently, the Committee
learned that the policy change had already been made and had
been in effect since March 2020.
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\1\Letter from Chairman Thompson to DHS Inspector General Joseph V.
Cuffari (Sept. 29, 2020).
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In June 2021, the Government Accountability Office (GAO)
released a report detailing the DHS OIG's long-standing
management and operational weaknesses including: a lack of
internal quality controls, absence of a strategic plan, and
failure to examine and address the increased time it takes to
complete reports.\2\ GAO made 21 recommendations to the OIG to
develop better management and reporting systems and to follow
established best practices.
---------------------------------------------------------------------------
\2\``DHS Office of Inspector General: Actions Needed to Address
Long-Standing Management Weaknesses,'' Government Accountability
Office, GAO-21-316, (June 3, 2021), available at https://www.gao.gov/
products/gao-21-316.
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The next month, the independent government watchdog, the
Project on Government Oversight (POGO), found that the DHS OIG
had repeatedly impeded and delayed two ongoing investigations
into alleged intelligence manipulation and whistleblower
retaliation.\3\ The POGO investigation found that one of these
delayed investigations would have examined allegations that the
Department undertook a politically motivated effort to downplay
the domestic terrorism threat from white supremacists ahead of
the January 6th attack on the U.S. Capitol.
---------------------------------------------------------------------------
\3\Adam Zagorin and Nick Schwellenbach, ``Did Whistleblower
Reprisal Help Set the Stage for a January 6 Intelligence Failure?,''
Project on Government Oversight, (July 1, 2021), available at https://
www.pogo.org/investigation/2021/07/did-whistleblower-reprisal-help-set-
the-stage-for-a-january-6-intelligence-failure/
---------------------------------------------------------------------------
H.R. 5633 seeks to enhance transparency regarding the DHS
OIG's oversight findings by requiring reporting to Congress and
the public upon the completion of investigations, particularly
those that involve substantiated misconduct by senior
officials. It also requires improved reporting on ongoing
audits, inspections, and evaluations so the Committee has
better insight into reports that may be delayed and for what
reason. Finally, it addresses some of GAO's findings by
requiring the OIG to review its policies and procedures to
ensure compliance with best practices and for the GAO to
perform an evaluation of that review once complete.
Hearings
For the purposes of clause 3(c)(6) of rule XIII of the
Rules of the House of Representatives, the following hearings
were used to develop H.R. 5633:
On April 21, 2021, the Committee on Homeland
Security held a hearing entitled, ``Oversight of the
Department of Homeland Security's Office of Inspector
General.'' The Committee received testimony from Mr.
Christopher P. Currie, Director, Homeland Security and
Justice Team, U.S. Government Accountability Office;
and Mr. Joseph V. Cuffari, Inspector General, U.S.
Department of Homeland Security.
Committee Consideration
The Committee met on October 26, 2021, a quorum being
present, to consider H.R. 5633 and ordered the measure to be
favorably reported to the House, as amended, by voice vote.
Committee Votes
Clause 3(b) of rule XIII requires the Committee to list the
recorded votes on the motion to report legislation and
amendments thereto.
No recorded votes were requested during consideration of
H.R. 5633.
Committee Oversight Findings
In compliance with clause 3(c)(1) of rule XIII, the
Committee advises that the findings and recommendations of the
Committee, based on oversight activities under clause 2(b)(1)
of rule X, are incorporated in the descriptive portions of this
report.
Congressional Budget Office Estimate, New Budget Authority, Entitlement
Authority, and Tax Expenditures
With respect to the requirements of clause 3(c)(2) of rule
XIII and section 308(a) of the Congressional Budget Act of
1974, and with respect to the requirements of clause 3(c)(3) of
rule XIII and section 402 of the Congressional Budget Act of
1974, the Committee has requested but not received from the
Director of the Congressional Budget Office a statement as to
whether this bill contains any new budget authority, spending
authority, credit authority, or an increase or decrease in
revenues or tax expenditures.
Federal Mandates Statement
An estimate of Federal mandates prepared by the Director of
the Congressional Budget Office pursuant to section 423 of the
Unfunded Mandates Reform Act was not made available to the
Committee in time for the filing of this report. The Chairman
of the Committee shall cause such estimate to be printed in the
Congressional Record upon its receipt by the Committee.
Duplicative Federal Programs
Pursuant to clause 3(c) of rule XIII, the Committee finds
that H.R. 5633 does not contain any provision that establishes
or reauthorizes a program known to be duplicative of another
Federal program.
Statement of General Performance Goals and Objectives
Pursuant to clause 3(c)(4) of rule XIII, the objective of
H.R. 5633 is to improve transparency into completed DHS OIG
investigations, increase congressional oversight over the OIG's
ongoing activities, and to strengthen OIG management and
operational guidelines.
Congressional Earmarks, Limited Tax Benefits, and Limited Tariff
Benefits
In compliance with rule XXI, this bill, as reported,
contains no congressional earmarks, limited tax benefits, or
limited tariff benefits as defined in clause 9(d), 9(e), or
9(f) of rule XXI.
Advisory Committee Statement
No advisory committees within the meaning of section 5(b)
of the Federal Advisory Committee Act were created by this
legislation.
Applicability to Legislative Branch
The Committee finds that H.R. 5633 does not relate to the
terms and conditions of employment or access to public services
or accommodations within the meaning of section 102(b)(3) of
the Congressional Accountability Act.
Section-by-Section Analysis of the Legislation
Section 1. Short Title.
This section states that the Act may be cited as the
``Department of Homeland Security Inspector General
Transparency Act''.
Sec. 2. Office of Inspector General of the Department of
Homeland Security.
This section requires the DHS IG to submit to relevant
congressional committees any reports that substantiate
whistleblower retaliation; or misconduct, waste, fraud, abuse
or policy violations by members of the Senior Executive Service
or politically appointed officials. These reports shall further
be made publicly available in a manner consistent with privacy,
civil rights, and civil liberties protections. These reports
may not be redacted with the exception of identifying
information of a whistleblower complainant.
This section further establishes that the OIG, when
submitting semiannual reports to Congress, shall also include a
description of every ongoing audit, inspection, or evaluation.
This description is to include information relating to: the
source of the audit, inspection, or evaluation; whether it is
being undertaken in coordination with any other entity, and an
explanation of any significant change in focus or timeline for
completion. Furthermore, these semiannual reports shall also
include data regarding tips and complaints made to the DHS IG
Hotline. These data are required to contain a description of
the number and type of tips and complaints made, actions taken
by the Department to address these tips and complaints and how
long those actions took, the number of tips that are
substantiated by the OIG, and the percentage of audits,
inspections, or evaluations initiated as a result of Hotline
tips and complaints.
This section additionally requires the Inspector General
to notify Congress if the head of a DHS component or office
does not respond to OIG requests for information in a timely
manner. It also requires the IG to produce a report within 1
year of enactment of this Act on the policies, procedures, and
internal controls established at the Office to ensure
compliance with the Quality Standards for Federal Offices of
Inspector General. Once that report is complete, the GAO is to
review and produce an evaluation on its contents.
The Committee intends for this legislation to provide
greater transparency regarding the OIG's operation and guard
against the risk that the issuance of investigative reports
will be delayed or impeded for political or some other improper
reason. Transparency regarding oversight findings is critical
to the public interest and Congress, which relies on the OIG to
provide independent, fact-based analysis into Departmental
programs, activities, and personnel.
Changes in Existing Law Made by the Bill, as Reported
In compliance with clause 3(e) of rule XIII of the Rules of
the House of Representatives, changes in existing law made by
the bill, as reported, are shown as follows (new matter is
printed in italics and existing law in which no change is
proposed is shown in roman):
HOMELAND SECURITY ACT OF 2002
SECTION 1. SHORT TITLE; TABLE OF CONTENTS.
(a) Short Title.--This Act may be cited as the ``Homeland
Security Act of 2002''.
(b) Table of Contents.--The table of contents for this Act
is as follows:
Sec. 1. Short title; table of contents.
* * * * * * *
TITLE VIII--COORDINATION WITH NON-FEDERAL ENTITIES; INSPECTOR GENERAL;
UNITED STATES SECRET SERVICE; COAST GUARD; GENERAL PROVISIONS
* * * * * * *
Subtitle B--Inspector General
[Sec. 811. Authority of the Secretary.]
Sec. 811. Office of Inspector General.
* * * * * * *
TITLE VIII--COORDINATION WITH NON-FEDERAL ENTITIES; INSPECTOR GENERAL;
UNITED STATES SECRET SERVICE; COAST GUARD; GENERAL PROVISIONS
* * * * * * *
Subtitle B--Inspector General
SEC. 811. OFFICE OF INSPECTOR GENERAL.
(a) Publication of Reports.--
(1) In general.--Beginning not later than 30 days
after the date of the enactment of this section, the
Inspector General of the Department shall submit to the
appropriate congressional committees any report
finalized on and after such date that substantiates--
(A) a violation of paragraph (8) or (9) of
section 2302(b) of title 5, United States Code,
section 1034 of title 10, United States Code,
or Presidential Personnel Directive-19; or
(B) an allegation of misconduct, waste,
fraud, abuse, or violation of policy within the
Department involving a member of the Senior
Executive Service or politically appointed
official of the Department.
(2) Public availability.--
(A) In general.--Concurrent with the
submission to the appropriate congressional
committees of reports pursuant to paragraph
(1), the Inspector General shall, consistent
with privacy, civil rights, and civil liberties
protections, publish on a publicly available
website of the Inspector General each such
report.
(B) Exception.--The requirement pursuant to
subparagraph (A) to publish reports does not
apply if section (5)(e)(1) of the Inspector
General Act of 1978 applies to any such report.
(3) Requirement.--
(A) In general.--The Inspector General of
the Department may not redact any portion of a
report submitted pursuant to paragraph (1).
(B) Exception.--The requirement under
subparagraph (A) shall not apply with respect
to the name or any other identifying
information, including any contextual details
not relevant to the audit, inspection, or
evaluation at issue that may be used by other
employees or officers of the Department to
determine the identity of a whistleblower
complainant, of a whistleblower complainant who
does not consent to the inclusion of such in a
report of the Inspector General.
(b) Semiannual Reporting.--Beginning with the first
semiannual report transmitted to the appropriate committees or
subcommittees of the Congress pursuant to section 5(b) of the
Inspector General Act of 1978 that is transmitted after the
date of the enactment of this section, each such report shall
be accompanied by a list of ongoing audits, inspections, and
evaluations of the Department, together with a narrative
description relating to each such audit, inspection, or
evaluation that identifies the scope of such audit, inspection,
or evaluation, as the case may be, as well as the subject
office, component, or directorate of the Department. For each
such ongoing audit, inspection, or evaluation such narrative
description shall include the following:
(1) Information relating to the source of each such
audit, inspection, or evaluation.
(2) Information regarding whether each such audit,
inspection, or evaluation is being conducted
independently, jointly, concurrently, or in some other
manner.
(3) In the event each such audit, inspection, or
evaluation was initiated due to a referral, the date on
which the Inspector General notified the originator of
a referral of the Inspector General's intention to
carry out such audit, inspection, or evaluation.
(4) Information relating to the dates on which--
(A) each such audit, inspection, or
evaluation was initiated;
(B) a draft report relating to each such
audit, inspection, or evaluation is scheduled
to be submitted to the Secretary for review;
and
(C) a final report relating to each such
audit, inspection, or evaluation is scheduled
to be submitted to the appropriate
congressional committees and published on the
website of the Inspector General in accordance
with paragraphs (1) and (2), respectively, of
subsection (a).
(5) An explanation for--
(A) any significant changes to the narrative
description of each such audit, inspection, or
evaluation, including the identification of the
subject office, component, or directorate of
the Department; or
(B) a delay of more than 30 days in the
scheduled date for submitting to the Secretary
a draft report for review or publishing on the
website of the Inspector General of the
Department the final report relating to each
such audit, inspection, or evaluation.
(6) Data regarding tips and complaints made to the
Inspector General Hotline of the Department or
otherwise referred to the Department, including--
(A) the number and type of tips and
complaints regarding fraud, waste, abuse,
corruption, financial crimes, civil rights and
civil liberty abuse, or other complaints
regarding criminal or non-criminal activity
associated with fraud, waste, or abuse;
(B) actions taken by the Department to
address or resolve each substantiated tip or
complaint;
(C) the total amount of time it took the
Department to so address or resolve each such
substantiated tip or complaint;
(D) the total number of tips and complaints
that are substantiated compared with the number
of tips and complaints that are
unsubstantiated; and
(E) the percentage of audits, inspections,
and evaluations that are initiated as a result
of tips and complaints made to the Inspector
General Hotline.
(c) Notification to Congress.--The Inspector General of the
Department shall notify the Committee on Homeland Security of
the House of Representatives and the Committee on Homeland
Security and Governmental Affairs of the Senate if the head of
an office or component of the Department does not provide in a
timely manner to the Inspector General information or
assistance that is requested by the Inspector General to
conduct an audit, inspection, or evaluation.
(d) Definition.--In this section, the term ``appropriate
congressional committees'' means the Committee on Homeland
Security of the House of Representatives, the Committee on
Homeland Security and Governmental Affairs of the Senate, and
any committee of the House of Representatives or the Senate,
respectively, having legislative or oversight jurisdiction
under the Rules of the House of Representatives or the Senate,
respectively, over the matter concerned.
* * * * * * *
[all]