Open Recommendations

Revise purchase request and approval controls to implement a mechanism to hold cardholders accountable to obtain Approving Official’s approval prior to making purchases. (Finding 2)

Verify purchase transactions were for allowable expenses and consider remediation action of any unallowable or unauthorized charges. (Findings 2 and 3)

Develop and document a mechanism to hold the Agency Program Coordinator accountable for proper oversight of the overall purchase card program including periodic review of the supporting documentations, certificates of training, monthly reconciliation, and purchase request forms maintained by the Approving Officials. (Findings 1, 2, 3, 4)

Provide training for Approving Officials to ensure proper retention of required supporting documentations such as the evidence of cardholder’s reconciliation of statements, Approving Official’s approval of the statement, signed purchase request forms, copies of receipt/invoices, and certificate of training. (Findings 1, 2, 3, 4)

We recommend that the Chief Procurement Officer update HUD's field service manager contract monitoring plan and FSM qualitative monitoring databases used to monitor contractor performance to align with the QASP and contractual requirements as noted in recommendation 1G below.

Create and publish an HCOP that conforms to current OPM guidance.

Align HCOP and other EXRM strategic planning documents with the agency’sStrategic Plan.

Align and demonstrate how HCOP objectives and actions reflect HCF systemstandards.

Design and implement agency policies which describe how the use of data willsupport sound HC strategies and identify process improvements. This shouldinclude a process to identify deficiencies and a plan for remediation.

Establish formal communication strategies with all appropriate agency stakeholders (messages, briefings, policies etc.).

Publish all policy documents to appropriate staff.

Review and update all human capital policies, e.g., HCOP, Human Capital Policy, and Delegated Examining Policy, at least every five years.

Beginning with HCOP objectives, develop a clear feedback loop regarding policy implementation between EXRM and senior management on a regular basis, preferably at least quarterly.

Assess the impact of HC policies, programs, strategic goals, and initiatives on organizational performance, and develop and hold staff accountable to meet milestones designed to implement new policies, programs, and initiatives.

Implement and report to agency senior management on measures of the effectiveness of new policies, programs, and initiatives.

Develop key performance measures that reflect the effectiveness of EXRM’s support of the CPSC’s mission.

Use data developed in the new performance measures to correct any deficiencies and improve HC policies and programs.

Update and publish directives and SOPs for all major HC areas and routine HC tasks.

Create and publish a succession plan and supporting documents that conform to current OPM guidance, to include backfill and reorganization plans, and a list of all Mission Critical Occupations.

Require periodic reviews of all succession planning elements to foster continuous improvement.

Identify and manage ongoing relationships with recruiting and outreach sources.

Identify the CPSC-specific skill and competency gaps and establish a process to close those gaps.

Implement steps to address the federal government-wide priorities identified in the Federal Workforce Priorities Report.

Develop initiatives through Strategic Workforce Plans.

Develop and implement an annual assessment and review process of the Mission Critical Occupations plan.