STRATEGIC GOAL EIGHT: Ensure Professionalism, Excellence, Accountability, and Integrity in the Management and Conduct of Department of Justice Programs

Although the Performance Plan's primary focus is on the programmatic goals related to carrying out the Department's mission, achieving these goals depends upon strong and effective management practices. This section addresses the departmental management priorities for the year ahead and displays associated resources for each strategic goal. Due to the fact that this is a companion document to Strategic Plan, Departmentwide priorities cut across all functional and organizational boundaries and address such fundamental issues as integrity and accountability, planning, evaluation, financial management, information technology and human resources. Many of the performance related measures coincide with the goals and objectives within the President's Management Agenda; therefore, when necessary, annual performance for the President's Management items appear in that section.

Through the Office of the Inspector General (OIG) and the Office of Professional Responsibility (OPR), the Department will ensure that Department attorneys and law enforcement personnel meet the highest ethical standards, strengthen program accountability and performance and pursue allegations of fraud, waste, and abuse. These priorities are Department wide.

DOJ and its components continue substantive progress in resolving challenges in the areas of financial management and information technology management. As a part of this effort, departmental components will continue to enhance, implement, and maintain financial management systems that substantially comply with federal financial management system requirements, applicable federal accounting standards, and the U.S. Standard General Ledger at the transaction level. Components will continue to focus on ensuring that all financial systems meet federal standards, and that the weaknesses in accounting and reporting practices disclosed in the financial audits are addressed. The Department will also place emphasis on building stronger linkages among planning, budgeting, and resource allocation processes; establishing improved management and performance data systems; and evaluating and assessing priority programs and operations. In early FY 2004, installation of the new Unified Financial Management System will begin.

The Office of Justice Programs (OJP) and the Office of Community Oriented Policing Services (COPS) are the primary grant-making components within the Department of Justice. Since the 1990's, the Department has experienced large increases in its grant funding due to the passage of the Violent Crime Control and Law Enforcement Act of 1994 (the Crime Act), the Violence Against Women Acts I & II, and other significant legislation. Comprehensive grant management and monitoring is essential to ensure the proper administration of programs and reduce the opportunity for fraud, waste and abuse of Departmental funds. During FY 2000, OJP began electronically certifying awards through the Grants Management System, consistent with Public Law 106-107, the federal Financial Assistance Management Improvement Act of 1999, to ease public access to Federal grant programs and reduce the flow of paper award packages. The Department will strengthen accountability mechanisms through the continued improvements to the automated Grants Management System and continue to ensure proper disbursement and monitoring of funds through audits, training, site visits, and technical assistance.

The Department has a strong commitment to the Administration's efforts to provide the public with efficient and secure electronic access to government services. Information technology (IT) is a catalyst that will transform the way departmental components perform business functions, interact with other government agencies, and deliver services to the public.

Currently, there are several initiatives underway in the Department to develop and extend e-government services and information. An excellent example is the Office of Justice Programs' (OJP) successful implementation of its electronic grant application and review processes called the Grants Management System. OJP expects to provide state, local, and tribal government agencies the ability to complete all of their transactions with OJP electronically (see Strategic Objective 8.3). Also, the Immigration and Naturalization Service (INS) is assessing all of its business processes and plans, over several years, to automate a large number of transactions with its customers.

This ongoing commitment to electronic government while maintaining current IT capabilities, without significant growth in resources, places increased importance on capital investment, architecture, and security. Sound IT capital programming processes will help to ensure a clear focus on service and performance in terms of timely investment in new technologies and wise management of legacy systems. The developing enterprise architecture will complement capital programming with a business framework for IT technical infrastructure. Finally, strong commitment to security is necessary to protect information and infrastructure by thwarting computer intrusions, protecting individual privacy, and combating cybercrime.

Current assessment of recruitment and retention issues in the Department indicates that recent efforts to attract and retain qualified Border Patrol Agents have been successful.

As a result of initiatives implemented in FY 2000, the INS has been able to overcome difficulties in hiring Border Patrol Agents. Through the use of trained Border Patrol Agents, an advertising campaign, hiring bonuses, and reducing the length of the pre-employment process, INS attracted over 91,000 qualified applicants. INS anticipates opening the hiring register three times a year.

RESOURCE COMPARISON: Strategic Goal to Total DOJ $ and FTE

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Required Skills: OPR requires experienced attorneys familiar with the Model Rules of Professional Conduct and State bar rules, Federal Criminal Code and Rules of Procedure, Federal Rules of Civil Procedure, and DOJ procedural and ethical guidelines, as well as paralegals and program analysts. Federal Criminal Code and Rules of Procedure, Federal Rules of Civil Procedure, and DOJ procedural and ethical guidelines, as well as paralegals and program analysts. Skilled investigators, auditors, program analysts, attorneys, and support staff are required for the mission of the OIG. Required skills for both OIG and OPR include interviewing and interrogation techniques, research and analytical skills, report writing, statistical sampling, and computer skills. In addition, criminal investigators require expertise in legal and statutory elements of crime, firearms, and physical training.

DOJ Finance requires the skills of accountants, financial, budget, program, and system analysts. Procurement personnel must be skilled in Performance Based Contracting; the preparation of a Statement of Work and a Quality Assurance Plan; and developing effective positive and negative performance incentives. Personnel involved in coordinating FAIR Act inventories within their components must understand the provisions of the Act and must have an understanding of the nature of positions, functions, and activities in their organizations. Employees responsible for making cost comparisons for decision-makers regarding outsourcing must understand the elements of the work to be performed as well as cost-benefit analysis.

In terms of skills required, to complete its grant-making mission, OJP requires the skills of accountants, financial, budget, program, management, and system analysts.

IT and systems management require skills such as network management, Internet, and security skills in all Department components. IT staff must demonstrate expertise in current and emerging technologies and be capable of preparing business justifications and managing technology development and maintenance.

Personnel skilled in recruitment are needed as well as personnel involved in reviews and studies attempting to identify opportunities for streamlining and delayering should be competent in business process re-engineering principles and practices, organizational theory, work process flow analysis, group dynamics, work teams and existing personnel rules and regulations.

Information Technology Utilized: OPR uses the Bibliographic Retrieval System case tracking system. The OIG relies upon the Investigations Data Management System (IDMS), which consists of eight computer-based, and four paper-based systems; through which the OIG Investigations Division records and monitors the status of allegations and the progress of investigations. The OIG Investigations Division Monthly Investigative Activity Report provides information that is not tracked in IDMS, such as types and amount of seizures, integrity briefing activity, etc. The OIG Investigations Division Administrative Database tracks the distribution and receipt of customer surveys on completed investigative reports. The OIG Audit Division Management System consists of information that the regional Audit offices provide to headquarters on the status of assignments and the number of workdays expended monthly. The OIG Evaluation and Inspections Division Management Tracking System tracks all assignments by project and report numbers, and includes employee workhours and other information. Additionally, it consolidates biweekly and monthly reports submitted to senior management.

Modern financial systems are required to meet federal financial systems requirements. Components of the Department are in the process of implementing new financial systems or enhancing existing systems. The Federal Data Procurement System is used to track the volume of contract activity and the Organizational Structure and Manpower Analysis Report is used to determine characteristics of on-board employees.

With respect to information technology, in support of its grant-making mission, OJP's Integrated Financial Management Information System (IFMIS) is the official system of record for all OJP funding, commitments, obligations, expenditures, and payments OJP=s Grant Management System (GMS) and IFMIS enable end-to-end Internet based grant application, award, and payment for the Local Law Enforcement Block Grant (LLEBG), State Criminal Alien Assistance Program (SCAAP) and the Bullet Proof Vest (BPV) grant program.

The COPS Office uses its COPS Management System (CMS) to track grants from application receipt to closeout. This system includes the Issue Resolution Module, which tracks compliance issues from discovery to resolution, and the Audit Management System, which tracks audit milestones from inception through closure. In FY 2002, the COPS Office will migrate to the new Financial Management Information Systems 2 (FMIS 2).

Computer laboratories must be funded and maintained to evaluate new technologies and products before wide-scale deployment. Help desk and operations staff will provide support services to ensure availability of office automation technologies to all users. There is increasing use of web technology for information access and dissemination.

PROGRAM EVALUATIONS

There are no program evaluations planned for FY 2003.

Background/ Program Objectives:
In order for its programs and activities to be effective, all Department personnel, contractors, and grantees must conduct themselves in accordance with the highest standards of integrity, accountability, and efficiency. The Office of the Inspector General (OIG) was established to detect and prevent misconduct and mismanagement on the part of the Department's personnel and programs. OIG investigates alleged violations of criminal and civil laws, regulations, and ethical standards arising from the conduct of the Department's employees in their numerous and diverse activities. OIG provides leadership and assists management in promoting integrity, economy, efficiency, and effectiveness within the Department and in its financial, contractual, and grant relationships with others using the coordinated efforts of OIG's investigative, audit, and inspection resources.

Strategies to Achieve the FY2003/FY 2004 Goal:
In FY 2003 and 2004, OIG will investigate allegations of bribery, fraud, abuse, civil rights violations, and violations of other laws and procedures that govern Department employees, contractors, and grantees, and will develop cases for criminal prosecution and civil and administrative action. OIG will use its audit and inspections resources to review Department

programs or activities identified as high priority areas in the Department's strategic plan and devote resources to review of the OIG Top Ten management issues.

Crosscutting Activities:
These measures are largely internal to DOJ and are administered by the OIG.

Background/Program Objectives:
The Department, through its Office of Professional Responsibility (OPR), will continue to ensure that Department attorneys meet and maintain the high ethical standards expected of the nation's principal law enforcement agency. Specifically, OPR reviews and investigates allegations of professional misconduct by Department attorneys, investigators, or law enforcement personnel where the allegations relate to the exercise of an attorney's authority to investigate, litigate, or provide legal advice. Through the performance of OPR, the Department seeks to ensure that Department attorneys, and investigative and law enforcement personnel working with the attorneys, comply with obligations and standards imposed by law, applicable rules of professional conduct, or Department regulations or policy, and that instances of failure to comply with those standards are identified and attorneys appropriately disciplined.

Strategies to Achieve the FY2003/FY 2004 Goal:
OPR recently modified internal procedures to simplify the process by which investigating attorneys close matters that do not warrant full investigations, thereby enabling OPR to devote more resources to closing full investigations. OPR will continue to review allegations of professional misconduct to determine whether they are within OPR's jurisdiction, and to conduct such investigations as are warranted to determine whether professional misconduct occurred. In addition, OPR will electronically search court decisions published in electronic databases in order to ensure that instances of serious judicial criticism and judicial findings of misconduct are referred to, and reviewed by, OPR. In matters where full investigations are conducted, OPR will continue to seek to resolve those matters within one year of initiation of the investigation. At the conclusion of the investigation, OPR will provide a report of investigation containing its findings and conclusions to the head of the Department component involved.

While the number of findings of professional misconduct appears likely to remain fairly level, OPR's investigations ensure that matters presenting even the appearance of impropriety receive close review. OPR will periodically review allegations received in order to identify trends and bring such trends to the attention of the Attorney General or the appropriate component head.

Crosscutting Activities:
These measures are largely internal to DOJ and are administered by OPR.

Full discussion of this topic has been moved to the new PMA section on Improved Financial Management.

Background/Program Objectives:
DOJ has been participating in two Government-wide procurement initiatives. The first is to encourage the use of performance-based contracts. DOJ will continue to promote the use of performance-based service contracts, where solicitations are structured around the purpose of the work to be performed, rather than the manner in which it is to be performed. Department leadership will encourage contracts that are designed to ensure that: contractors are given freedom to determine how to meet the Government's performance objectives; appropriate performance quality levels are achieved; and payment is made only for services that meet these levels. As a result, the Government should experience fewer cost overruns, schedule delays, and performance problems. The second, the Central Contractor Registration database is an online database serving as the Government-wide single point of vendor registration. It is the single validated source data on vendors doing business with the Government. The Central Contractor Registration database will be established during FY 2003.

Strategies to Achieve the FY2003/FY 2004 Goal:
N/A

Crosscutting Activities:
These measures are largely internal to DOJ.

Full discussion of this topic has been moved to the new PMA section on Competive Sourcing.

Full discussion of this topic has been moved to the new PMA section on Budget and Performance Integration.

Background/ Program Objectives:
In an effort to reduce duplication, improve customer service, and strengthen grant oversight, OJP submitted its two-part plan for internal reorganization to the Hill for review and approval. Within the plan, OJP will be consolidating the functions of several support offices that will result in improved responsiveness, assistance and accountability to all customers; elimination of duplicative efforts and overlaps within OJP Bureaus; development of measurable grant and program outcomes; and enhanced communication, cooperation, coordination, and efficiency. The Department has been moving toward implementation of an automated Grants Management System since FY 1999. When fully operational, the Department will be able to fully administer all grants through a centralized, paperless system and electronically process and track grants from application to closeout. This will allow grantees to receive and submit applications, receive awards electronically, reduce the paperwork required by grantees, and standardize the process within program offices. In addition, GMS will assist in setting priorities for program monitoring and facilitate timely program and financial reports from grantees.

Each year, OJP develops a risk-based monitoring plan that considers inherent programmatic and recipient risks, including the amount of funding at risk, known problems, special requests, and a random sample of active awards. OJP currently initiates financial monitoring (covering both OJP and COPS grant programs) and has achieved a reputation for having few reportable problems. When rare instances of waste, fraud, or abuse are reported, OJP quickly responds with direct technical assistance to the recipients to correct serious problems or to the investigators in bringing about appropriate criminal prosecutions. Financial monitoring provides our financial auditors assurance with regard to safeguarding agency assets and the accuracy of recipient-reported expenditures and related expenditure accrual, one of the largest components of our audited financial statements. Following financial review, OJP's staff provides technical assistance on the recommendations made until all recommendations have been implemented. Once it has been determined that the grantee has sufficiently addressed all issues, the review is officially closed in writing.

The COPS monitoring program has several elements, which assess how grantees are using federal funds, determine to what extent grantees are implementing community policing, and identify potential compliance issues. COPS develops and then shares its site visit monitoring plan with the Office of the Inspector General (OIG), which also selects a number of COPS grantees for review. Site visits yield detailed documentation of how COPS funds are being used, allow COPS to observe the implementation of COPS grants, and reveal the level to which individual jurisdictions have adopted the community policing philosophy in field activities. The agency complements site visits with office-based grant reviews, which begin with an internal review of grant documentation followed by direct contact with the grantee and the collection of additional and/or supporting documentation demonstrating compliance with grant requirements. The COPS Office has centralized its compliance resolution process and developed the Issue Resolution Module, a COPS-wide automated system that allows for the identification and status tracking of specific grantee issues.

Strategies to Achieve the FY2003/FY 2004 Goal:
In FY 2004, we will continue to demonstrate continued progress towards full implementation of the Grants Management System as a way of standardizing and streamlining the grant process.

Crosscutting Activities:
OJP's Office of the Comptroller works with internal program offices as well as with the GAO and the OIG.

Background/Program Objectives:
Under the direction of the DOJ Chief Information Officer (CIO), the Department provides leadership and policy direction to IT programs in over 30 component organizations with widely divergent missions and funding. Cost-effective maintenance of current technology and timely adoption of new technology across the Department increasingly require coordinated management of technical, budgetary, and programmatic issues that impact IT investment.

The Department has established a formal IT investment management (ITIM) policy and process to ensure that investment decisions are aligned with the strategic goals of the Department, are well-planned and justified, fit within the Department's overall IT strategy and enterprise architecture, and are managed effectively throughout the lifecycle.

Strategies to Achieve the FY2003/FY 2004 Goal:
We will continue to monitor and assess the ITIM process implementation in DOJ components.

Crosscutting Activities:
These measures are largely internal to DOJ.

Background/Program Objectives:
To identify IT system vulnerabilities throughout the Department, the CIO's staff launched an intensive certification and accreditation initiative in 2000 involving all components. The Department developed the Security Management and Report Tracking (SMART) database to track security weaknesses and planned corrective actions identified through the certification and accreditation process and in other security reviews, such as IG audits and penetration tests. The Department has continued to update, upgrade and fine-tune the system. In addition, a major effort has been made to enter data for all systems not previously identified in earlier system assessments, update existing information on component systems and input the results of various types of system and program reviews. This program is central to assuring the public's trust that information and IT systems in the Department are adequately protected against unauthorized access and use.

Strategies to Achieve the FY2003/FY 2004 Goal:
The results of the initial certification and accreditation initiative will continue to help identify individual system weaknesses and crosscutting areas for intervention and monitoring throughout the Department during FY 2003 and FY 2004. To further this process, the Department will use the security management and reporting tool (SMART) to develop the foundation for system plan and milestones to ensure component actions are completed to close system security gaps. The reports generated from SMART reveal that most common vulnerabilities in DOJ systems are related to audit, authentication, contingency planning, management controls, documentation, and configuration management.

These revised measures will ensure the Department's security program performance continues to demonstrate its commitment to meet challenges now and in the future. Furthermore, the Department has been adopting the National Institute for Standards Technology (NIST) performance measures, tools and techniques to further strengthen our IT security program and show measurable progress. The ASSET tool, designed to facilitate the required, periodic self-assessment of IT systems, was used throughout the Department to record self assessment activities and combine results into Department-level reports for the FY2002 GISRA reporting cycle. We are discussing ways to make the ASSET tool more responsive and effective with NIST and we expect to continue its use. The Department is following NIST guideline developments closely and incorporating them into Department policy and guidance wherever possible. OMB's GISRA reporting guidance regarding specific reporting measures has been fully implemented, including the development of corrective action plans and quarterly status meetings and updates.

Additional information on the IT security program can be found in the Department of Justice Information Technology Strategic Plan, July 2002, and the Department of Justice Information Security Report for the Government Information Security Reform Act, September 2002.

Crosscutting Activities:
These measures are largely internal to DOJ.

Background/Program Objectives:
The essence of the Government Paperwork Elimination Act (GPEA) is to provide citizens, businesses, and governmental agencies the option of conducting business with the Federal Government through electronic means. OMB considers that the information collections under the Paperwork Reduction Act (PRA) are the most significant transactions that should offer an electronic option as required by GPEA. Implicit within GPEA is transforming business processes to make them faster, more efficient, and more citizen-centric-key objectives of the "Expanded Electronic Government" initiatives in the President's Management Agenda. Aggressive implementation of "eGovernment" initiatives is a priority of the Department's IT Strategic Plan. The Department submitted the FY 2003 - FY 2004 eGovernment Implementation Plan to Office of Management and Budget (OMB) in October 2002.

Strategies to Achieve the FY2003/FY 2004 Goal:
The Department will evaluate completed GPEA projects and draw from these best practices and candidates for solutions that can be applied to other projects as well as seek out best practices and/or solutions from other Federal agency sources. The CIO will require component project plans for each of the DOJ priority GPEA projects, and will monitor these plans monthly thereafter.

Crosscutting Activities:
The Department will continue to work across organizational boundaries and collaborate on joint solutions, such as the Administration's eGovernment Initiatives and other e-government initiatives. Examples of these include, the Department's participation in 17 of the 24 eGovernment Initiatives, and its major role in 4 of the project initiatives: Wireless communications inter-operability, Electronic Grants, Electronic Records, and Electronic Authentication. DEA, as part of its Diversion Control Program, will continue the pilot program with the Veterans Administration, and INS will continue collaborating with the Department of State (STATE) in the use of SEVIS.

Background/ Program Objectives:
We have given priority attention to the recruitment of Border Patrol Agents and have been quite successful. INS will continue improvements in this area through the implementation of the following five initiatives: (1) increase the Internet recruiting system that involves twelve different sites; (2) establish overseas testing involving military bases around the world; (3) develop the capacity to conduct walk-in testing or mobile testing; (4) revise the compressed testing process to allow on-site drug testing; and (5) initiate an integrity interview and full field investigation prior to the oral board. Valuable staff hours and resources will be saved by utilizing the Internet and walk-in testing.

Full discussion of this topic has been moved to the new PMA section on Strategic Management of Human Capital.

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