Railroad Retirement Board Did Not Implement Sufficient Internal Controls in the Mobile Phones Deployed as a Result of the Pandemic

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Date Issued

Thursday, March 17, 2022

Submitting OIG

Railroad Retirement Board OIG

Other Participating OIGs

Railroad Retirement Board OIG

Agencies Reviewed/Investigated

Railroad Retirement Board

Report Number

22-07

Report Type

Audit

Special Projects

Pandemic

Agency Wide

Yes

Number of Recommendations

Questioned Costs

Funds for Better Use

$310,359

Open Recommendations

This report has 11 open recommendations.

Recommendation Number	Significant Recommendation	Recommended Questioned Costs	Recommended Funds for Better Use	Additional Details
1	No	$0	$0	Management partially concurred with this recommendation. This recommendation remains open as written because the Office of Inspector General for the Railroad Retirement Board continues to see the need for the entire recommended corrective action.
The Bureau of Information Services should update their mobile phone policies to include and implement a National Archives and Records Administration-approved records schedule and transfer procedures for electronic records associated with mobile phones.
2	No	$0	$0	Management does not concur with this recommendation. This recommendation remains open because the Office of Inspector General for the Railroad Retirement Board continues to see the need for the recommended corrective action.
The Bureau of Information Services should submit a yearly affidavit to confirm electronic records associated with mobile phones have been identified and retained until the full transition into Microsoft Azure Cloud.
3	No	$0	$0	Management does not concur with this recommendation. This recommendation remains open because the Office of Inspector General for the Railroad Retirement Board continues to see the need for the recommended corrective action.
The Railroad Retirement Board's Director of Administration should define and communicate 'personal usage' establishing Railroad Retirement Board's core hours of 5:00 am to 7:00 pm. Any usage outside of core hours would be considered personal usage excluding business management purposes.
4	No	$0	$0	Management concurred with this recommendation.
The Railroad Retirement Board's Bureau of Information Services should 1) continue efforts to update the Telecommuting and Mobile Security Computing Policy with current laws and regulations and 2) develop a periodic monitoring control to assess personal usage and address it according to agency guidance.
5	No	$0	$298,220	Management concurred with this recommendation.
The Bureau of Information Services should incorporate the mobile phones in an existing assessable unit and update their mobile phone policies to include documentation regarding the specific roles and responsibilities of each office overseeing the mobile phone program.
6	No	$0	$0	Management concurred with this recommendation.
The Bureau of Information Services should enforce and execute a review and approval process for application and software download and restrict access to specified applications found in their Railroad Retirement Board G-6 Rules of Behavior.
7	No	$0	$12,139	Management concurred with this recommendation.
The Bureau of Information Services should implement procedures to periodically track, log, and monitor iPhone usage and the completion of the G-6 Acknowledgement Statement.
8	No	$0	$0	Management concurred with this recommendation.
The Bureau of Information Services should periodically review the mobile phone inventory for completeness and accuracy to include a comparison with Railroad Retirement Board's personnel position index.
9	No	$0	$0	Management concurred with this recommendation.
The Bureau of Information Services should implement the use of unique identifiers between disparate data sets (e.g., mobile phone inventory, personnel position index) to facilitate comparisons and reconcile inconsistent information.
10	No	$0	$0	Management does not concur with this recommendation. This recommendation remains open because the Office of Inspector General for the Railroad Retirement Board continues to see the need for the recommended corrective action.
The Bureau of Information Services should develop and implement a records management and retention system for electronic records.
11	No	$0	$0	Management partially concurred with this recommendation. This recommendation remains open as written because the Office of Inspector General for the Railroad Retirement Board continues to see the need for the entire recommended corrective action.
The Bureau of Information Services should research the capabilities of Railroad Retirement Board's Microsoft Azure Cloud's functionality to determine feasibility of incorporating the automated records management and retention capabilities to govern the mobile phones electronic records.