Open Recommendations

Develop relevant internal controls (policies, procedures,and/or guidance) to ensure data entry is integrated intoACO’s daily workflow.

Complete the enterprise-wide data inventory.

Document and implement a standard operating procedureto maintain the enterprise-wide data inventory as new datacollections are created and old data collections are retired.

Collaborate with NARA’s Chief Information Officer todocument and implement a standardized process tomonitor service level agreements with cloud-based serviceproviders. The process should include the monitoringresponsibilities of the Contracting Officer’sRepresentatives and actions NARA should take if acontractor does not meet the defined service levels.

Document and implement a process to incorporate theCloud Service Provider's Quality Assurance SurveillancePlan as part of future cloud service contracts. Whereincorporation of a Cloud Service Provider QualityAssurance Surveillance Plan is not anticipated, NARAshould incorporate its own Quality Assurance SurveillancePlan and service level agreements at the solicitationphase, these should align with commercial best practices.

Ensure that states report fee information in their intended use plans and annual reports as required per the Guidance on Fees Charged by States to Recipients of Clean Water State Revolving Fund Program Assistance, 70 Fed. Reg. 61039 (Oct. 20, 2005), and the Clean Water State Revolving Fund capitalization grant conditions.

Implement a documented process requiring the assignment of aQuality Assurance Evaluator for future relocation of records project(s).

Ensure a Quality Assurance Surveillance Plan is developed andimplemented requiring onsite supervision to provide proper oversight and compliancewith the PWS.

In collaboration with applicable parties, ensure PWS requirementsare developed to reflect the procedures necessary to protect and account for therelocation of archival records that should include:a. Implementing a documented process requiring the assignment of a QualityAssurance Evaluator for future relocation of records project(s).

In collaboration with applicable parties, ensure PWS requirementsare developed to reflect the procedures necessary to protect and account for therelocation of archival records that should include:Ensuring a Quality Assurance Surveillance Plan is developed, approved, andimplemented requiring onsite supervision to provide proper oversight andcompliance with the PWS.

Develop and implement standard operating procedures to ensurethat Research Services personnel comply with the PWS requirements.

Develop and implement standard operating procedures tocommunicate final PWS requirements to all responsible parties before the contract isawarded.

We recommend that the FAS Commissioner establish an oversight process for CSP-based contracts undergoing consolidation to ensure contracting personnel: (a) comply with General Services Acquisition Regulation 538.270-1, Evaluation of offers without access to transactional data, and FAS Policy and Procedure 2021- 05, Evaluation of FSS Program Pricing; and gather supporting documentation to determine a contractor’s most favored customer pricing for use in negotiation objectives; and (b) evaluate supporting documentation to verify a clear and relevant relationship between supporting documentation and each of the proposed prices it is meant to substantiate.

We recommend that the FAS Commissioner establish an oversight process for TDR pilot contracts undergoing consolidation to ensure contracting personnel do not rely solely on contract-level pricing tools; and, if prices paid data is not available, prioritize obtaining recent invoices or other than certified cost or pricing data from the contractor before relying on non-prices paid information.

We recommend that the FAS Commissioner re-evaluate previously consolidated MAS contracts to ensure that added products or services were evaluated to meet federal regulations and GSA policy requirements.

We recommend that GSA’s Chief Information Officer implement controls to ensure that the Inventory of Owned and Leased Properties (IOLP) and Federal Real Property Profile Management System (FRPP MS) datasets contain accurate latitude and longitude coordinates based on each property’s physical location except for those properties with a clear exemption for national security.

We recommend that GSA’s Chief Information Officer establish a process to ensure GSA searches existing geospatial data before procuring new data, including: ensuring the Geographic Information Systems Center of Excellence is notified of future geospatial data needs prior to awarding a new contract for geospatial data; and improving Agency-wide awareness of the requirement to search existing geospatial data prior to awarding a new contract for geospatial data.

FAA's Air Traffic Organization System Owners and National Airspace System (NAS) Cyber Operations to implement procedures to perform near real-time cyber monitoring activities on the remaining 62 NAS systems in accordance with DOT and FAA cybersecurity requirements and provide a timeline for completion.

OCIO to implement a process to verify that DOT's operating systems comply with applicable Departmental and Defense Information Systems Agency Security Technical Implementation Guides configuration settings.

OCIO to remediate vulnerabilities or develop other compensating controls in systems supporting DOT's Continuous Diagnostic and Mitigation program, tools, and network endpoints in accordance with the timeframes set forth in Cybersecurity and Infrastructure Security Agency's managed catalog of known exploited vulnerabilities.

FAA's System Strategy & Performance Service division to develop and implement software asset management policies, including a software inventory for reconciliation process.

FAA's Research and Development division to implement a process to verify that FAA's operating systems comply with applicable Departmental, FAA, and Defense Information Systems Agency Security Technical Implementation Guides configuration settings.

Identify process gaps and update NUREG-1021 to ensure that guidance in future revisions remains current and addresses emerging issues.

Implement a process to monitor and ensure that reinvestigations occur for the identified employees and contractors not currently enrolled in continuous vetting through either TW or DoD CV until such time as their enrollment is complete.

Implement a technical capability to capture NRC employees’ and contractors’ initial login dates so that the required cybersecurity awareness and role-based training can be accurately tracked and managed by the current process. Also, as part of this recommendation, consider reviewing the current configuration of the EIH and TMS integration—as well as the logic in TMS itself, as necessary—to ensure training assignments are retained (not cancelled) due to inactivity.