Audit of the Railroad Retirement Board's Records and Information Management Program

Submitting OIG:

Railroad Retirement Board OIG

Date Issued:

Wednesday, September 27, 2023

Agency Reviewed / Investigated:

Railroad Retirement Board

Submitting OIG-Specific Report Number:

23-06

Location(s):

Agency-Wide

Type of Report:

Audit

Questioned Costs:

Funds for Better Use:

Number of Recommendations:

Report updated under NDAA 5274:

View Document:

Attachment	Size
Audit-Report-23-06.pdf	1.37 MB

Recommendation Number	Recommendation Status	Significant Recommendation
1	Open	No
The Railroad Retirement Board's Bureaus of Information Services should fully implement the corrective actions developed in response to Railroad Retirement Board’s Office of Inspector General Report Number 17-08 recommendations 2, 3, 4, 5, 7, 9, and 10 by the completion timeline.
2	Open	No
The Railroad Retirement Board's Bureau of Information Services should develop corrective action plans, to include timelines for completion, for Railroad Retirement Board’s Office of Inspector General Report Number 17-08 recommendations 6, 12, and 13.
3	Open	No
The Railroad Retirement Board's Bureau of Information Serivces should establish a process to maintain detailed corrective action plans for all records and information management internal control deficiencies.
4	Open	No
The Railroad Retirement Board’s Bureau of Information Services should develop action plans, with timelines for estimated completion, for the following fiscal year 2021 Federal Manager’s Financial Integrity Act Report program process improvements: • Program Process Improvement 7: Complete a comprehensive update of the Railroad Retirement Board’s Records Schedule Disposition Handbook; and • Program Process Improvement 8: Incorporate all new National Archives and Records Administration Digital Preservation Guidance into Railroad Retirement Board’s Records Management policies and procedures by June 30, 2024.
5	Open	No
The Railroad Retirement Board's Bureau of Information Services should create a corrective action plan to ensure requirements identified in Administrative Circular Information Resources Management 4 have been implemented.
6	Open	No
The Railroad Retirement Board's Bureau of Information Services should update Administrative Circular Information Resources Management 4 to include procedures that the Bureau of Information Services staff must implement in the absence of a records liaison.
7	Open	No
The Railroad Retirement Board's Bureau of Information Services should develop a checklist to enable Bureau Heads to be made fully aware of their responsibilities and verify that their bureau or office complies with each requirement in Administrative Circular Information Resources Management 4.

Recommendation Number

Recommendation Status

Significant Recommendation

Additional Details

Open

The Railroad Retirement Board's Bureaus of Information Services should fully implement the corrective actions developed in response to Railroad Retirement Board’s Office of Inspector General Report Number 17-08 recommendations 2, 3, 4, 5, 7, 9, and 10 by the completion timeline.

Open

The Railroad Retirement Board's Bureau of Information Services should develop corrective action plans, to include timelines for completion, for Railroad Retirement Board’s Office of Inspector General Report Number 17-08 recommendations 6, 12, and 13.

Open

The Railroad Retirement Board's Bureau of Information Serivces should establish a process to maintain detailed corrective action plans for all records and information management internal control deficiencies.

Open

The Railroad Retirement Board’s Bureau of Information Services should develop action plans, with timelines for estimated completion, for the following fiscal year 2021 Federal Manager’s Financial Integrity Act Report program process improvements: • Program Process Improvement 7: Complete a comprehensive update of the Railroad Retirement Board’s Records Schedule Disposition Handbook; and • Program Process Improvement 8: Incorporate all new National Archives and Records Administration Digital Preservation Guidance into Railroad Retirement Board’s Records Management policies and procedures by June 30, 2024.