OIG-18-68 - Home Office Of Inspector General
Most Complaints aboutCBP's Polygraph ProgramAre Ambiguous orUnfoundedJuly 26, 2018OIG-18-68
DHS OIG HIGHLIGHTSMost Complaints about CBP’s PolygraphProgram Are Ambiguous or UnfoundedJuly 26, 2018Why We DidThis AuditIn 2010, Congressrequired U.S. Customsand Border Protection(CBP) law enforcementapplicants to receive apolygraph examination.We initiated this audit todetermine whether CBPhas effective controls overits polygraph andcomplaint processes.What WeRecommendWe made tworecommendations to CBPto improve its qualitycontrol and complaintreview processes.For Further Information:Contact our Office of Public Affairs at(202) 254-4100, or email us hs.govWhat We FoundAlthough CBP had controls over its polygraphexamination process, a key control over its review andapproval process was not always operating as intended.Specifically, in a small number of cases, the polygraphquality control program may not have always conductedindependent and objective reviews (blind reviews) ofpolygraph examination results, as required. During theaudit, CBP addressed our concerns and updated itsquality control procedures. These updated procedures —finalized in September 2017 — require independent andobjective quality control reviews.We also determined that 96 percent of the complaints wereviewed were unfounded or ambiguous. However, CBPdid not have a formal complaint review process, whichled to inconsistent and subjective reviews. Thisapproach risks not finding or properly addressing issuescontained in the complaints.CBP ResponseCBP concurred with both recommendations andimplemented recommendation 1 by revising its standardoperating procedures to address quality controlreviewers conducting an objective review.CBP is finalizing a formal policy to implementrecommendation 2. The policy will define the polygraphreview process and the appropriate actions forresponding to complaints.OIG-18-68
OFFICE OF INSPECTOR GENERALDepartment of Homeland SecurityWashington, DC 20528 / www.oig.dhs.govJuly 26, 2018MEMORANDUM FOR:The Honorable Kevin K. McAleenanCommissionerU.S. Customs and Border ProtectionFROM:John V. KellySenior Official Performing theDuties of the Inspector GeneralSUBJECT:Most Complaints about CBP’s Polygraph ProgramAre Ambiguous or UnfoundedAttached for your action is our final report, Most Complaints about CBP’sPolygraph Program Are Ambiguous or Unfounded. We incorporated the formalcomments from the U.S. Customs and Border Protection in the final report.The report contains two recommendations. Your office concurred with bothrecommendations. Based on information provided in your response to the draftreport, we consider recommendation 2 open and resolved. Once your office hasfully implemented the recommendation, please submit a formal closeout letterto us within 30 days so that we may close the recommendation. We considerrecommendation 1 resolved and closed. Please send your response or closurerequest to OIGAuditsFollowup@oig.dhs.gov.Consistent with our responsibility under the Inspector General Act, we willprovide copies of our report to congressional committees with oversight andappropriation responsibility over the Department of Homeland Security. We willpost the report on our website for public dissemination.Please call me with any questions, or your staff may contact John E. McCoy II,Assistant Inspector General for Audits, at (202) 254-4100.www.oig.dhs.gov
OFFICE OF INSPECTOR GENERALDepartment of Homeland SecurityBackgroundThree Department of Homeland Security components use polygraphexaminations to screen law enforcement applicants for suitability prior tohiring. The United States Secret Service (Secret Service), TransportationSecurity Administration (TSA), and the U.S. Customs and Border Protection(CBP) have polygraph programs; and U.S. Immigration and CustomsEnforcement is establishing one. CBP conducts the most screening polygraphexams — 78 percent of the Department’s fiscal year 2016 exams, as shown infigure 1.The Anti-Border Corruption Act of 2010requires CBP law enforcement applicants toreceive a polygraph examination before theyare hired.1 The National Center forCredibility Assessment (NCCA) trains andcertifies Federal polygraph examiners andprograms. NCCA establishes Federalstandards and requires Federal polygraphprograms to establish standard operatingprocedures for conducting and maintainingpolygraph programs.Figure 1: Percent of FY 2016Polygraphs by Component6%CBPUSSSTSA16%78%Source: Office of Inspector General (OIG)analysis of polygraph dataCBP uses the polygraph as a tool to identifypotential suitability and national security issues. Examiners use instrumentsto measure and record an applicant’s respiratory, skin, and cardiovascularreactions to questions. According to polygraph theory, truthful and deceptiveanswers trigger different reactions in the body. Examiners comparephysiological reactions to either corroborate or challenge information providedby the applicant.CBP’s Credibility Assessment Division administers the polygraph exam, whichconsists of three phases:xPre-test Interview — examiners provide an explanation of the polygraphinstruments and exam; ensure the equipment is working properly; obtaina waiver; and review the polygraph questions with the applicant.xPolygraph Examination — examiners use two types of questions toscreen applicants. Suitability questions cover illegal drug use and1Pub. L. No. 111-376, § 3 (2011). This requirement may be waived for veterans who aredeemed suitable for employment by the Commissioner; hold a Top Secret clearance with accessto sensitive compartmented information; have a current single scope background investigation;and did not use previous waivers to obtain the clearance. See National Defense AuthorizationAct for Fiscal Year 2017, Pub. L. No. 114-328, § 1049 (2016).www.oig.dhs.gov2OIG-18-68
OFFICE OF INSPECTOR GENERALDepartment of Homeland Securityserious crimes. National security topics include terrorist activity,unauthorized foreign contacts, and mishandling classified information.xPost-test Interview — examiners review the preliminary polygraph examresults with the applicants.The polygraph process includes a quality assurance review. CBP does notconsider a polygraph final until quality control personnel review, concur with,and certify the examiner’s results; and ensure the test complied with Federaland CBP polygraph standards. A polygraph result can be conclusive (pass orfail) or inconclusive (more testing needed). Applicants who pass continue in thehiring process. Those who fail can retake the exam after 2 years. If a test isinconclusive, CBP may invite an applicant to retake the exam.CBP administered polygraphFigure 2: CBP’s Polygraph Examexaminations to about 33,000Results for FYs 2013 – 2016applicants between FYs 2013 and2016 (figure 2 shows the results ofthe exams). During that time, CBP28%Passspent about 72.3 million on thepolygraph program. As noted in ourFail26%2previous report, applicants providedInconclusiveinformation, or admitted to behavior,DQ Admission41%that disqualified them fromemployment eligibility (DQ5%admission). For example, during apre-test interview, applicantsadmitted to using illegal drugs,Source: OIG analysis of CBP polygraph datamolestation, domestic violence, andeven being an accessory to murder;yet, these applicants sat for the polygraph exam. CBP implemented ourrecommendation to contact adjudicators immediately when an applicantadmits to wrongdoing. If the adjudicator determines the applicant isunsuitable, the examiner ends the test and CBP removes the applicant fromthe hiring process.During fieldwork of our 2017 audit, CBP also initiated a pilot program for anew polygraph format. According to CBP, the combination of the new format,and its implementation of our recommendation, reduced the average length ofan exam from 5.1 hours to 4.3 hours. It also increased the rate of passingexams. Although CBP administers a similar polygraph exam as other agencies,we cannot reasonably compare the results. This is due to variables in applicantdemographics and agency hiring processes, such as the pre-security interview.2 CBP Spends Millions Conducting Polygraph Examinations on Unsuitable Applicants (DHS OIG17-99-MA, August 2017)www.oig.dhs.gov3OIG-18-68
OFFICE OF INSPECTOR GENERALDepartment of Homeland SecurityA recent DHS OIG inspection report noted CBP continues to have significantdelays in hiring law enforcement personnel.3 CBP had significant challenges inidentifying, recruiting, and hiring law enforcement officers, and its averagehiring process took more than 220 days in FY 2015. During our 2017 audit,the President directed the Department to hire an additional 5,000 border patrolagents. The Secretary also directed CBP to hire 500 new Air and MarineOfficers.Results of AuditAlthough CBP had controls over its polygraph examination process, a keycontrol over its review and approval process was not always operating asintended. Specifically, the polygraph quality control program may not havealways conducted independent and objective reviews (blind reviews) ofpolygraph examination results, as required. We also determined that 96percent of the complaints we reviewed were unfounded or ambiguous.Nevertheless, CBP did not have a formal complaint review process, which led toinconsistent and subjective reviews. This approach risks not finding or properlyaddressing issues contained in the complaints.Quality Control Review ProcessCBP established a quality control program to comply with NCCA standards.NCCA requires Federal polygraph programs to establish standard operatingprocedures for conducting and maintaining a quality control program. Apolygraph exam is not complete until quality control examiners review theresults. This review is a critical step in the polygraph process. It ensures thatat least two examiners independently and objectively agree on the results.Testing the Quality Review ProcessWe reviewed a statistical sample of 380 polygraph examinations from FY 2013through FY 2016 to determine whether quality control reviews occurred asintended. Although CBP’s polygraph system showed that it met quality controlrequirements, the quality review process may not have worked as intended.Specifically, the quality control reviewers could communicate with each otheror with the examiner before they completed their reviews. This communicationcould compromise the integrity of CBP’s quality control review process.3DHS Is Slow to Hire Law Enforcement Personnel (DHS OIG 17-05, October 2016)www.oig.dhs.gov4OIG-18-68
OFFICE OF INSPECTOR GENERALDepartment of Homeland SecurityCBP Actions during the AuditDuring the audit, we discussed our concerns with CBP officials and theyupdated their quality control procedures. These updated procedures, finalizedin September 2017, require independent and objective quality control reviews.Complaints about Polygraph ExamsAlthough 87 percent of applicants do not even make it to the polygraph phase(see appendix C for more information), CBP’s polygraph program is stillidentified as an impediment to the hiring process, and complaints about theprogram persist. We reviewed CBP’s complaints to determine their validity andfound that 96 percent of the complaints we reviewed were unfounded orambiguous. All but one of the complaints came from applicants without apassing polygraph result.Review of CBP’s Polygraph ComplaintsWe reviewed 157 complaints to determine whether CBP had an effectiveprocess and whether the complaints were true. The complaints fell into threecategories — those missing information or otherwise too vague to review; thosewhich were not true (the allegation was not substantiated by an audio review);and those which were true (the allegation was substantiated by an audioreview). Of the 157 complaints, we determined that:x130 (83 percent) were either not specific or did not have enoughinformation to review;x 21 (13 percent) were not true based on the allegation; andx 6 (4 percent) were true.We determined CBP did not adequately address five of the six substantiatedcomplaints. For the complaint it addressed adequately, CBP conducted anaudio review and allowed the applicant to retest.CBP Lacked Policies and Procedures for Addressing ComplaintsAlthough the majority of CBP’s complaints were ambiguous or unfounded, CBPdid not have policies and procedures for addressing complaints. The extent ofCBP’s review depended largely on factors such as whether the allegation wouldaffect the outcome of the exam, if the applicant admitted to wrongdoing, or theapplicant failed the exam. In some cases, CBP reviews the audio file tosubstantiate complaints about professionalism.www.oig.dhs.gov5OIG-18-68
OFFICE OF INSPECTOR GENERALDepartment of Homeland SecurityWithout a formal policy, CBP risks not finding and properly addressing issuesidentified in a complaint. Given the high visibility and negative image of thepolygraph program, CBP should ensure it consistently reviews and addressescomplaints about unprofessional behavior.RecommendationsRecommendation 1: We recommend the Commissioner of CBP developadditional controls to ensure polygraph quality control reviews comply withFederal polygraph standards.Recommendation 2: We recommend the Commissioner of CBP develop andimplement a formal policy for the complaint review and response process.Management Comment and OIG AnalysisCBP concurred with our recommendations and took steps to address them. Asummary of CBP’s response and our analysis follows. We included a copy ofCBP’s management comments in their entirety in appendix B.CBP Response to Recommendation #1: Concur. CBP agreed that the qualitycontrol reviews of polygraph test data should be objective. CBP took stepsduring our audit to ensure the quality control objective reviews comply withFederal polygraph standards. Specifically, CBP revised its polygraph qualitycontrol standard operating procedures to address the objective review betweenquality control examiners.OIG Analysis: We reviewed the revised procedures and believe the revisionswill clarify the quality control review to ensure it is objective, and help CBP’spolygraph program comply with Federal polygraph standards. CBP’s efforts areresponsive to the recommendation, and we consider it resolved and closed.CBP Response to Recommendation #2: Concur. CBP agreed to implement aformal complaint review and response process policy. CBP is finalizingstandard operating procedures to define its process to review polygraphcomplaints and determine the appropriate response. The estimated completiondate is June 30, 2018.OIG Analysis: CBP’s proposed actions meet the intent of the recommendation.We consider the recommendation resolved and open. The recommendation willremain open until we review documentation showing CBP implemented thepolicy and to ensure the policy fully addresses the recommendation.www.oig.dhs.gov6OIG-18-68
OFFICE OF INSPECTOR GENERALDepartment of Homeland SecurityAppendix AObjective, Scope, and MethodologyThe Department of Homeland Security Office of Inspector General wasestablished by the Homeland Security Act of 2002 (Public Law 107 296) byamendment to the Inspector General Act of 1978.Our audit objective was to determine whether CBP had effective controls overits polygraph and complaint processes. To answer our objective we:xinterviewed officials from CBP’s Credibility Assessment Division,Personnel Security Division, Human Resource Management, and budgetoffices to gain an understanding of the polygraph examination and obtainprogram statistics and cost information;xinterviewed polygraph examiners, and polygraph Quality Controlpersonnel in Washington, DC; Tucson, Arizona; Dallas, Texas; andMiami, Florida;xobserved polygraph examinations in Washington, DC; Tucson, Arizona;and Miami, Florida;xconsulted with an internal subject matter expert on polygraphexaminations;xanalyzed a September 2015 internal report that CBP commissioned onPre-Employment Polygraph Assessments;xattended the National Center for Credibility Assessment’s (NCCA)Polygraph Program Managers course in Columbia, South Carolina, togain an understanding of the program;xreviewed a statistical sample of 380 polygraph examinationsadministered during FYs 2013–16 from a universe of 32,532 to determinewhether CBP followed controls over the polygraph examination;xassessed the reliability of data in the sample and requested that NCCAand CBP review a judgmental sample of exams to confirm the finalresult. We determined the data was sufficiently reliable for the purposesof our audit;xobserved the polygraph quality control review process;xreviewed NCCA and CBP polygraph standards;www.oig.dhs.gov7OIG-18-68
OFFICE OF INSPECTOR GENERALDepartment of Homeland Securityxrequested that NCCA conduct a review of 19 polygraph examinations inwhich CBP overturned passing exams to determine whether the overturnwas reasonable;xobtained 157 complaints submitted during FYs 2013–17 that CBPrelated to the polygraph program. We reviewed those complaints bylistening to audio recordings and reviewing documents to determinewhether CBP addressed the complaints and whether the process wasadequate. We obtained access to CBP’s Credibility Assessment andPolygraph Services system to conduct our review;xdiscussed our audit findings with CBP and issued a Management Alerton program efficiency; andxinterviewed officials at the United States Secret Service, Immigration andCustoms Enforcement, Transportation Security Administration, and theFederal Bureau of Investigation to gain an understanding of theirpolygraph programs.We conducted this performance audit between October 2016 and October 2017pursuant to the Inspector General Act of 1978, as amended, and according togenerally accepted government auditing standards. Those standards requirethat we plan and perform the audit to obtain sufficient, appropriate evidence toprovide a reasonable basis for our findings and conclusions based upon ouraudit objectives. We believe that the evidence obtained provides a reasonablebasis for our findings and conclusions based upon our audit objectives.www.oig.dhs.gov8OIG-18-68
OFFICE OF INSPECTOR GENERALDepartment of Homeland SecurityAppendix BCBP Comments to the Draft Reportwww.oig.dhs.gov9OIG-18-68
OFFICE OF INSPECTOR GENERALDepartment of Homeland Securitywww.oig.dhs.gov10OIG-18-68
OFFICE OF INSPECTOR GENERALDepartment of Homeland Securitywww.oig.dhs.gov11OIG-18-68
OFFICE OF INSPECTOR GENERALDepartment of Homeland SecurityAppendix CWhere Applicants Are Removed in the Hiring ProcessThe polygraph exam comes after several other hiring steps. Most applicants (87percent) do not make it to the polygraph phase. Figure 3 shows the percentage ofapplicants removed at each phase.Figure 3: Percentage of Applicants Removed at Each PhasePercentRemovedHiring Process StepAnnouncement/Pre-Screening24Entrance Exam48Qualifications5Interview6Medical Exam2Physical Fitness Test2Percent of Applicants Removed Prior tothe Polygraph Exam:87Polygraph Phase10Background Investigation1Remaining Phases 1Source: DHS OIG analysis of CBP’s 2016 hiring statisticswww.oig.dhs.gov12OIG-18-68
OFFICE OF INSPECTOR GENERALDepartment of Homeland SecurityAppendix DOffice of Audits Major Contributors to This ReportSean Pettersen, DirectorPriscilla Cast, Auditor In-ChargeGary Crownover, Program AnalystMegan McNulty, Program AnalystRobert Williams, Program AnalystJeffrey Wilson, Program AnalystBenjamin Wing, AuditorChristopher Yablonski, AuditorMichael Redmond, Criminal Investigator (Office of Investigations)Kevin Dolloson, Communications AnalystVictor Leung, Independent Referencerwww.oig.dhs.gov13OIG-18-68
OFFICE OF INSPECTOR GENERALDepartment of Homeland SecurityAppendix EReport DistributionDepartment of Homeland SecuritySecretaryDeputy SecretaryChief of StaffGeneral CounselExecutive SecretaryDirector, GAO/OIG Liaison OfficeAssistant
OFFICE OF INSPECTOR GENERAL . Department of Homeland Security . A recent DHS OIG inspection report noted CBP continues to have significant delays in hiring law enforcement personnel. 3 CBP had significant challenges in identifying, recruiting, and hiring law enforcement officers, and its average hiring process took more than 220 days in FY 2015.
Department of Labor (DOL) is pleased to present the OIG Investigations Newsletter, containing a bimonthly summary of selected investigative accomplishments. The OIG conducts criminal, civil, and administrative investigations into alleged violations of federal laws relating to DOL programs, operations, and personnel. In addition, the OIG conducts
Office of Inspector General Office Hotline 202.692.2900 202.692.2915 ׀ 800.233.5874 Website OIG Reports Online Contact Form OIG@peacecorpsoi g.gov . 2 In sum, OIG has no concerns related to the accuracy of documents we relied upon to conduct our case review for the 2016 evaluation. We plan on including the results of this review in our next
Office Hotline ; 202.692.2900 202.692.2915 ׀ 800.233.5874 Website OIG Reports Online Reporting Tool OIG@peacecorpsoig.gov ; Final Follow-Up Review; . The Office of Inspector General (OIG) conducted a follow-up review of issues identified in the . Final Report on the Program Evaluation of Peace Corps/Moldova (IG-13-04-E). We followed up
Office of Inspector General Semiannual Report to Congress April 1, 2021-September 30, 2021 . FTC OIG at a Glance . Budget Authorized (in thousands) Positions . FTC . 351,000. a . . OIG Hotline (202) 326-2800 . oig@ftc.gov . Mailing Address . Federal Trade Commission Office of Inspector General Room CC-5206 600 Pennsylvania Ave NW
In the first half of FY 2017, the OIG published three evaluation reports and completed three . extended the Bank’s Charter until September 30, 2019. The OIG Office of Audits and Office . comply with all newly established procedures.
Mar 31, 2015 · The Annual Report contains an introduction to OIG-NYPD, an overview of OIG-NYPD’s inaugural year, a summary of OIG-NYPD’s efforts and accomplishments, and other useful information about the Office. This inaugural Report will primarily cover the opening of the Office in May 2014 thro
Commission (SEC) Office of Inspector General (OIG) Strategic . Plan for Fiscal Years 2017 to 2019. The Strategic Plan provides an overview of the OIG's goals and objectives for this time period. . Information received through the hotline is held in confidence upon request. Although the OIG encourages complainants to provide information on how
Nov 18, 2008 · he U.S. Department of Health and Human Services (HHS) Office of Inspector General (OIG) Work Plan for fiscal year (FY) 2014 (Work Plan) summarizes new and ongoing reviews and activities that OIG plans to pursue
