Open Recommendations

Require the Lake County ROE to submit the developed training materials that were published to BJA for review.

Ensure the Lake County ROE updates its website and published materials to include the required funding notice and appropriate grant-related information.

Ensure the Lake County ROE develops and implements written policies and procedures that facilitate accurate performance reporting, including specific procedures for completing performance report categories that may not directly align with grant-related activities.

Remedy $137,034 in unsupported costs for the contract that did not comply with federal requirements.

Work with the Lake County ROE to develop and implement grant financial management policies and procedures to help ensure adequate administration of federal grant funds. In particular, these policies and procedures should cover, at a minimum: (1) the tracking and approval of employee time, (2) procurement and acquisition practices for federal awards, (3) preparing and submitting drawdown requests and FFRs, (4) the requirement to track award funds separately, and (5) the process for completing and reviewing bank reconciliations.

Ensure the Lake County ROE corrects and resubmits, as necessary, its inaccurate FFRs.

Ensure the Lake County ROE completes historical bank reconciliations for the grant period.

Ensure that CASA NH receives the necessary guidance to report only VOCA-funded activities in PMT and prorate, when applicable.

Ensure that CASA NH develops and implements written policies and procedures that clearly describe the process for separately tracking VOCA expenditures and income from other sources of funding.

Ensure that CASA NH implements written policies and procedures for the preparation and submission of quarterly reimbursement requests.

Ensure that CASA NH enhances its time and effort reporting controls to document supervisory review of employee activities to include the date of the review.

Ensure that historical factors such as changes in the subsidy rate, frequency of major disasters, and total dollar amount of loan approvals from prior years are taken into consideration when developing the annual budget request for the disaster loan program.

Ensure monthly disaster reports comply with all the requirements of 15 U.S.C. § 636k(a).

Enhance monthly disaster reports to include 1) information that indicates whether sufficient funds are available or if supplemental funds are needed and 2) a narrative with each data table that explains how to read and interpret the monthly disaster reports.

Ensure written notification of the need for supplemental funds for the disaster loan program is submitted to the appropriate congressional committees as soon as SBA anticipates a funding shortfall, in accordance with 15 U.S.C. § 636k(d).

Verify that Project Rozana USA corrects the instance of material noncompliance detailed on pages 16 to 18 of the audit report

FHFA's Chief Information Officer should develop and implement a plan for strong user authentication controls for all external access to the CSP website in coordination with the new owner of the CSP website, the Office of Affordable Housing and Community Investment.

FHFA's Chief Information Officer should restrict access to member bank submission forms and associated documents to only authenticated and authorized users.

FHFA's Chief Information Officer should prevent unauthorized access to internal, CUI, and non-public files through parameter modification in the URL.

FHFA's Chief Information Officer should remove technical and system level information from public-facing code and pages, including references to internal applications, backend functions, and programming details.

FHFA's Chief Information Officer should configure all error messages to suppress internal application details and display only user-appropriate messages.

FHFA's Chief Information Officer should immediately remove all publicly accessible documents containing CUI and review published content for compliance with FHFA’s CUI policy.

FHFA's Chief Information Officer should establish a formal content review and approval process for all documents and content posted to public-facing websites, including checks for CUI data.

FHFA's Chief Information Officer should deploy monitoring and alerting tools to detect unauthorized logins, document access attempts, or suspicious activity on the CSP website.

FHFA's Chief Information Officer should segregate public-facing applications from internal networks by re-architecting the CSP website to isolate external access from internal file storage, databases, and infrastructure.

FHFA's Chief Information Officer should ensure that the security control assessor conducts a comprehensive control assessment that evaluates all components, including the CSP website.

FHFA's Chief Information Officer should reassess the current ATO for the CSP system based on an updated and accurate authorization package and document the resulting authorization decision.

FHFA's Chief Information Officer should update and approve the SSPP to accurately reflect the system’s identification and authentication methods for each user type, describe how the system collects PII, and document that a PIA was completed.

FHFA's Chief Information Officer should update the PIA to describe how external users access the system, including the security and privacy controls for securing non-public information, in coordination with the Senior Agency Official for Privacy.

FHFA's Chief Information Officer should designate a responsible system owner for the CCTV website to ensure it is actively maintained, in coordination with the appropriate FHFA office.

FHFA's Chief Information Officer should immediately remove public internet access to the CCTV website or restrict access through network-based controls such as virtual private network or internet protocol allow listing, ensuring it is only accessible by authorized internal users.

FHFA's Chief Information Officer should update FHFA’s public-facing system inventory to include all externally accessible websites and services and establish procedures to validate inventory accuracy on a recurring basis.

FHFA's Chief Information Officer should apply system hardening measures to the CCTV website by (a) disabling or restricting non-essential ports and services, (b) limiting access to only necessary functionalities, and (c) removing or protecting exposed API from unauthorized use.

FHFA's Chief Information Officer should enforce authentication and access control by (a) implementing account lockout after a defined number of failed login attempts, (b) enabling logging and alerting for authentication events, and (c) requiring multifactor authentication for administrative or remote access, if supported.

FHFA's Chief Information Officer should remediate vulnerabilities by (a) applying all available software and firmware updates to the CCTV platform, (b) replacing or renewing expired website security certificates, and (c) conducting a secure code review to identify and remove hardcoded credentials or unsecure configurations.

We recommend the Director, Division of Information Technology [redacted].

We recommend the Director, Division of Information Technology, limit user access by following the least privilege access principle where appropriate to documents on the cloud service provider [redacted].

We recommend the Director, Division of Information Technology, in coordination with the Director, Division of Depositor and Consumer Protection,[redacted].

We recommend the Director, Division of Information Technology, in coordination with the Director, Division of Depositor and Consumer Protection,[redacted].

We recommend the Director, Division of Information Technology, identify and review the continued need for other [redacted] that provide similar capabilities to launch [redacted].

Rec. 1.a: The DoD OIG recommended that the Under Secretary of Defense for Research and Engineering establish the Defense Quantum Information Science and Technology Research and Development Program by issuing an official policy directive that establishes the roles and responsibilities of the Under Secretary of Defense for Research and Engineering, Director of Quantum Science, and Deputy Director of Quantum Science for planning, managing, and coordinating the Defense Quantum Information Science and Technology Research and Development Program.

Rec. 1.b: The DoD OIG recommended that the Under Secretary of Defense for Research and Engineering establish the Defense Quantum Information Science and Technology Research and Development Program by issuing an official policy directive that Develops a coordinated plan to meet near-, mid-, and long-term challenges and technical goals, as required by section 234 of the FY 2019 National Defense Authorization Act, including definitive milestones and standards for measuring progress, that the Office of the Under Secretary of Defense for Research and Engineering can use to manage quantum information science and technology research and development across the DoD.

Rec. 1.c: The DoD OIG recommended that the Under Secretary of Defense for Research and Engineering establish the Defense Quantum Information Science and Technology Research and Development Program by issuing an official policy directive that establishes and implements reporting requirements for the quantum information science research centers of the Military Departments and other relevant stakeholders to inform the Office of the Under Secretary of Defense for Research and Engineering of progress toward accomplishing prescribed long-term goals and technical challenges using established milestones and standards.

Rec. 1.d: The DoD OIG recommended that the Under Secretary of Defense for Research and Engineering establish the Defense Quantum Information Science and Technology Research and Development Program by issuing an official policy directive that implements records management processes to collect, synthesize, and disseminate critical information on quantum information science research and development in the DoD and support interagency cooperation and collaboration with relevant stakeholders, as defined by the programs purpose in Section 234.

Reassess the operational effectiveness of contract file management processes and controls, making improvements as applicable.

Develop a centralized location for COR contract files that is accessible to the Office of Procurement.

Establish a process to monitor COR certifications and confirm CORs are appropriately certified before they perform COR responsibilities for a contract.

Review agency guidance and update applicable policies to emphasize the requirement to handle, store, and dispose of contract files in accordance with the NARA General Records Schedule 1.1, Financial Management and Reporting.

Determine the extent to which the required contractor performance evaluations have not been completed and entered into CPARS and take steps to address noncompliance.

Develop controls to ensure required contractor performance evaluations are completed.