Open Recommendations

Update OTrak to enable the complete text of findings and recommendations to be captured in database fields.

We recommend SSA include terms or conditions in all contracts that require that contractors identified as having significant security responsibilities complete role based security training before they perform their assigned duties and, at least, each fiscal year thereafter.

We recommend SSA implement data validation controls before it processes the role based privacy training assignments to prevent errors and avoid confusion between different components.

We recommend SSA develop and implement a process to send stakeholders routine reminders to update personnel information and periodically validate that all stakeholder information is accurate.

The Chief, Taxpayer Services, should educate IRS representatives about the fraud scheme and require them to properly authenticate callers before providing tax account information, including tax deposit and tax transcript information.

Evaluate its monitoring practices in consideration of its needs and resources, establish appropriate plans to achieve the necessary oversight of its programs, and institute a risk mitigation strategy to address any shortfalls in meeting its monitoring plans. This strategy should consider active grant recipients deemed to be high-risk, as well as those receiving multiple grant extensions on the same award, from all program offices each fiscal year.

Review relevant DOJ and internal OVW guidance and practices regarding extensions to award performance periods and develop written policies to enhance extension-related controls for the appropriate administration of grant programs and fulfillment of OVW's fiduciary responsibilities.

We recommend that OJP work with LEAP to ensure it implements procedures to report accurate performance data and maintain proper support documentation for the reported performance.

We recommend that OJP work with LEAP to ensure it complies with its approved funding structure or seeks approval and any necessary assistance to pursue a different structure to administer the program.

We recommend that OJP work with LEAP to ensure it properly documents the approval of timesheets so that LEAP is compliant with its existing policy.

We recommend that OJP work with LEAP to identify the amount needed for office space and modify its budget to ensure it reflects bona fide grant-related needs for rental costs.

We recommend that OJP work with LEAP to remedy the $2,682 in unallowable software costs that were not approved in the grant budget.

We recommend that OJP work with LEAP to develop and implement policies and procedures to ensure it charges to the grant only approved items in the budget.

We recommend that OJP work with LEAP to establish a policy for confirming the receipt of goods or services.

Conduct a study to establish minimum loan thresholds for performing site visits, implement policies and procedures based the results of that study, and perform site visits to help facilitate appropriate liquidation of collateral on defaulted COVID-19 EIDLs in an effort to maximize collections.

Verify all delinquent COVID-19 EIDL obligors are reported to credit bureaus in a timely manner.

Confer with the DOJ to establish a reasonable standard for referral of delinquent COVID-19 EIDLs to the DOJ for litigation.

Complete efforts to develop and implement program-level goals and metrics for both the Regional and Significant Service Provider Examination Programs. This should include finalizing and implementing the Inherent Risk Methodology Analysis.

Develop a plan to verify supervisors are monitoring scanning to improve compliance with load and unload scan goals at the St. Louis Processing and Distribution Center.

Develop and implement a plan to verify extra trips are properly recorded in the Surface Visibility Web system at the St. Louis Processing and Distribution Center.

Verify correct chain of custody procedures are followed for registry items at the St. Louis Processing and Distribution Center.

Analyze and realign processing operations at all four St. Louis processing facilities to improve efficiency.

Develop a plan to verify employees attach accurate placards on mail transportation equipment and follow first in, first out order at the St. Louis Processing and Distribution Center.

Develop a strategy to consistently conduct proper preventative maintenance on machines at the St. Louis Processing and Distribution Center.

Develop a process to verify all delayed mail is reported in the Mail Condition Visualization system daily at the St. Louis Processing and Distribution Center.