Open Recommendations

Related to Refunds and Drawbacks: We recommend that CBP implement relevant provisions of TFTEA, which will take effect on February 24, 2018.

Related to Refunds and Drawbacks: We recommend that CBP implement policies and procedures to ensure supporting documentation related to accelerated filer status is maintained.

Related to Refunds and Drawbacks: We recommend that CBP Update and redistribute guidance to necessary personnel regarding the appropriate CBP directives to ensure consistent performance of controls across all locations.

We recommend that the Deputy Secretary, Department of Homeland Security establish a formal entity at the Department level to oversee component use of force activities. Once established, the responsible personnel at the Department level should work with the components to: a. establish minimal requirements for what each component should report as a use of force incident and develop a process to collect and report the accurate number of incidents; b. develop a formal mechanism by which components can share lessons learned regarding use of force policies, training, and oversight; c. collaborate with the components and conduct a review or study…

Work with the Chief Information Officer Officer to perform a risk assessment to determine which aspects of an insider threat program are applicable to other types of sensitive Board information and develop and implement an agency-wide insider threat strategy for sensitive but unclassified Board information, as appropriate.

Take action to work with FAA, FHWA, FMCSA, FTA, MARAD, NHTSA, and OST to develop risk acceptance memos for the expired systems identified in this report.

The Deputy Secretary, or his designee, take action to work with OST COE, FTA, and FAA, the common control providers, to report and update risk acceptance for shared controls that are not implemented in DOT's Repository (e.g., CSAM) per FISMA, OMB, and DOT requirements.

The Deputy Secretary, or his designee, take action to identify and document OST COE compensating controls when used to address security weaknesses in CSAM and system authorizations.

The Archivist implement or upgrade current internal control software or utilize other mechanisms to enhance and improve the agency’s ability to track and report on internal controls.

The Archivist address outstanding recommendations from OIG Audit Report No. 13-01, including:  Revisiting his decision on the placement and role in the organization of the Chief Risk Officer.

NARA Executives ensure:  Monitoring and testing plans are sufficiently reported in the ICP Tool.

NARA Executives ensure:  Results of monitoring and testing plans are achievable within the reporting timeframe.

NARA Executives ensure:  All information is up-to-date and reflects the current control environment.

NARA Executives identify, develop, and include in ICP reports measurable indicators to evaluate functions.

The ICP Official develop and implement a consistent risk assessment process and format for risk ranking, analysis of effect or impact, and risk reporting.

The ICP Official review the ICP reports and make and document  any revisions necessary to the format to ensure all necessary information is obtained in the reports.

We recommend that the Chief Operating Officer\Chief Risk Officer fully implement all components of NARA 160, including developing, documenting, and fully implementing NARA 162, NARA’s Enterprise Risk Management Program.  Within NARA 162, roles and responsibilities for ERM activities should be clearly identified.

We recommend that the Chief Operating Officer\Chief Risk Officer fully implement all components of NARA 160, including Developing, documenting, and fully implementing NARA 163, NARA’s Issues Management.

We recommend that the Chief Operating Officer\Chief Risk Officer develop, document, and implement a formal process to identify and prioritize risks within the organization. Risks should be tied directly to NARA’s strategic plan and mission and prioritized based on their overall importance to the agency.

We recommend that the Chief Operating Officer\Chief Risk Officer develop, document, and implement a formal process to prioritize risk management activities including the use of limited resources based on key risks within the organization. Management’s prioritization should be clearly documented and include formal steps to ensure risks are maintained at an appropriate level.

We recommend that the Chief Operating Officer\Chief Risk Officer Provide additional resources to the Office of Accountability to ensure ICP activities are effectively carried out.