Recommended

Implemented

OIG-99-123

09/15/99

The Bureau of Alcohol, Tobacco and Firearms Controls Over Tax Free Exports

7

6

The Bureau of Alcohol, Tobacco and Firearms (ATF) is amending 27 CFR to include specific timeframes for distilled spirits plants to submit supporting documentation for claimed exports and additional guidance defining adequate export evidence.

OIG-01-019

11/13/00

ATF Needs to Improve Its Controls Over Tax-Free Tobacco Exports

8

7

The ATF is developing an automated tracking system that will begin assessment action on all shipments not cleared within 90 days.

OIG-01-066

04/01/01

Improvements Needed in the Administrative of ATF’s COLA Program

4

3

The ATF plans to either implement a new COLA tracking system or enhance the COLA/Formula Modernization System in conjunction with the development of e-filing of COLAS.

OIG-01-077

06/06/01

ATF’s Investigative Case and Time Data Needs Improvement

7

6

The ATF is modifying the automated case tracking system to track all dates for opening and closing individual cases.

OIG-02-078

04/15/02

REVENUE COLLECTION: ATF Needs to Improve its Offers in Compromise Process

8

0

The ATF is revising Offers in Compromise (OIC) case processing procedures and strengthening its process for tracking and monitoring OIC cases.

04-06

11/18/03

The Bureau of Alcohol, Tobacco, Firearms and Explosives’ Headquarters Network Infrastructure Pursuant to the Federal Information Security Management Act Fiscal Year 2003

15

13

The ATF is updating its policy regarding personnel security and background investigations to ensure that all appropriate personnel sign a non-disclosure agreement and staff properly maintain personnel security files. Also, the ATF is implementing policies and procedures to limit the visibility of network devices to users on a need-to-know basis.

03-25

07/15/03

Select Application Controls Review of the Federal Bureau of Prisons’ Sentry Database System

7

6

The Bureau of Prisons (BOP) is configuring the SENTRY workstations to ensure that users with system authorization are restricted to only those areas that they have been authorized to access.

03-28

08/08/03

Federal Bureau of Prisons Financial Statement Fiscal Year 2002

5

2

The Office of the Inspector General (OIG) will reevaluate the status of BOP’s corrective actions during the annual financial statement audit testing.

04-16

03/09/04

The Federal Bureau of Prisons Inmate Release Preparation and Transitional Reentry Programs

13

4

The BOP is enhancing and refining its inmate release preparation and reentry programs to provide inmates the appropriate programs and necessary skills to successfully reenter their communities.

02-05

01/25/02

The Federal Witness Security Program Criminal Division

3

1

The Criminal Division (CRM) is implementing new policies and procedures and supplementing its information system to provide more accurate and reliable data on the performance of the Witness Security Program.

03-20

06/10/03

Assets Forfeiture Fund and Seized Asset Deposit Fund Annual Financial Statement Fiscal Year 2002

2

0

The OIG will reassess the progress of CRM’s implementation of corrective actions during the annual financial statement audit testing.

GR-90-03-014

06/13/03

Use of Equitable Sharing Revenues by the Compton Police Department Compton, California

9

6

Prior to the end of the reporting period, CRM submitted a request for report closure to the the OIG.

02-09

03/29/02

Independent Evaluation Pursuant to the Government Information Security Reform Act Fiscal Year 2001 - The Drug Enforcement Administration’s El Paso Intelligence Center Information System (Unclassified Section)

117

16

At the end of the reporting period, the Drug Enforcement Administration (DEA) submitted documentation related to the El Paso Intelligence Center’s contingency plan and requested report closure.

02-28

08/01/02

The Drug Enforcement Administration’s Control Over Weapons and Laptop Computers

22

21

The DEA and other Department components are mandated to integrate their property management and accounting systems with a new Unified Financial Management System (UFMS). The integration initiative is under the control of the Justice Management Division (JMD).

02-40

09/26/02

Drug Enforcement Administration Annual Financial Statement Fiscal Year 2001

26

23

The OIG will evaluate the progress of DEA’s implementation of corrective actions during the annual financial statement audit testing.

03-35

09/30/03

The Drug Enforcement Administration’s Implementation of the Government Performance and Results Act

7

5

The DEA is establishing a system to collect, analyze and report performance data and developing procedures and controls to verify the performance data.

04-12

02/06/04

Independent Evaluation Pursuant to the Federal Information Security Management Act Fiscal Year 2003 - The Drug Enforcement Administration’s Merlin System

15

12

Prior to the end of the reporting period, the DEA completed the necessary corrective actions and submitted a request to the OIG for report closure.

04-17

03/16/04

Follow-up Audit of the Drug Enforcement Administration’s Laboratory Operations

15

9

The DEA is implementing various initiatives to address ventilation and security issues at several of its forensic laboratories.

02-11

3/29/02

Independent Evaluation Pursuant to Government Information Security Reform Act Fiscal Year 2001 - The Executive Office for United States Attorneys Justice Consolidated Office Network II

10

9

The Executive Office for United States Attorneys (EOUSA) is implementing a centralized audit log review system.

04-07

12/01/03

Payments to Vendors by United States Attorneys’ Offices

7

1

The EOUSA is implementing corrective actions related to compliance with acquisition and payment regulations and procedures, expansion of EOUSA’s review process, review of current acquisition and payment limits, and documentation of actions taken by accountable officers.

03-17

03/31/03

The United States Trustee Program’s Efforts to Prevent Bankruptcy Fraud and Abuse

9

8

The Executive Office for United States Trustees’ anticipates completing the expansion of its Automated Case Management System by September 2005.

01-31

09/28/01

Review of the Federal Bureau of Investigation Headquarters’ Information Systems Control Environment Fiscal Year 2000

29

13

The Federal Bureau of Investigation (FBI) is implementing various corrective actions to address the weaknesses identified by the OIG.

02-37

09/25/02

Review of the Federal Bureau of Investigation Headquarters’ Information Systems Control Environment Fiscal Year 2001

11

3

The FBI is implementing corrective actions recommended by the OIG to remedy deficiencies identified during the audit.

03-09

12/13/02

Federal Bureau of Investigation’s Management of Information Technology Investments

30

24

The FBI is strengthening its IT investment management and the IT-related strategic planning and performance measurement activities.

03-37

09/30/03

Federal Bureau of Investigation Casework and Human Resource Allocation

7

5

The FBI is replacing the Automated Case Support (ACS) system with the Virtual Case File (VCF) system. All case related information will be migrated from the ACS into the VCF and made available to all authorized users.

04-04

11/13/04

Review of the Federal Bureau of Investigation Headquarters’ Information Systems Control Environment Fiscal Year 2002

12

5

The FBI is implementing corrective actions to address the deficiencies identified by the OIG.

04-10

12/19/03

Federal Bureau of Investigation’s Efforts to Improve the Sharing of Intelligence and Other Information

6

5

The FBI is developing written policies and procedures for information sharing.

04-18

03/31/04

Federal Bureau of Investigation Legal Attache Program

6

0

The FBI is implementing the corrective actions recommended by the OIG.

01-01

11/6/00

Departmental Critical Infrastructure - Planning for the Protection of Computer Based Infrastructure

4

1

The Justice Management Division (JMD) is preparing documentation on the development of the Department’s mission essential inventory (MEI) and the completion of the related vulnerability assessments and remediation plans.

02-01

11/01/01

Departmental Critical Infrastructure Protection Planning for the Protection of Physical Infrastructure

3

0

JMD is working with the Departmental components to complete physical MEIs, vulnerability assessments and remedial plans.

02-12

03/29/02

Independent Evaluation Pursuant to Government Information Security Reform Act Fiscal Year 2001 - The Rockville and Dallas Data Centers

18

10

JMD is implementing corrective actions in the areas of software change management, segregation of duties, and password management.

02-21

06/10/02

Summary of the Independent Evaluation Pursuant to the Government Information Security Reform Act Fiscal Year 2001 - Classified Systems

7

0

JMD is implementing various initiatives to strengthen the Department’s IT security management and oversight activities.

02-26

07/25/02

Offices, Boards and Divisions Annual Financial Statement Fiscal Year 2001

9

6

The OIG will evaluate the status of the remaining open recommendations during the annual financial statement audit testing.

02-31

08/01/02

The Department of Justice’s Control Over Weapons and Laptop Computers

13

3

JMD is developing standard guidelines and procedures and stricter reporting requirements to strengthen accountability and control of the Department’s weapons and laptop computers.

03-33

09/25/03

Follow-up Audit of the Department of Justice Counterterrorism Fund

13

9

JMD is working with the components to implement the OIG’s recommendations and to address the noted cost exceptions.

04-05

11/13/05

Department Critical Infrastructure Protection Implementing Plans to Protect Cyber-Based Infrastructure

26

10

JMD is coordinating with the Departmental components to implement the corrective actions recommended by the OIG.

04-03

11/12/03

Immigration and Naturalization Service Expenditures Charged to the Organized Crime Drug Enforcement Task Forces Program for Fiscal Years 1997 - 2002

7

4

The Organized Crime Drug Enforcement Task Forces (OCDETF) is reviewing all of the questioned costs. Based on the review, OCDETF will determine the total funds due to OCDETF and initiate proceedings to collect those funds.

02-15

03/29/02

Office of Justice Programs State and Local Domestic Preparedness Grant Programs

6

5

03-21

06/20/03

Office of Justice Programs Annual Financial Statement Fiscal Year 2002

6

2

The OIG will assess the status of the open recommendations during the annual financial statement audit testing.

03-27

08/07/03

Streamlining of Administrative Activities and Federal Financial Assistance Functions in the Office of Justice Programs and the Office of Community Oriented Policing Services

8

0

OJP and the Office of Community Oriented Policing Services (COPS) are working together to address the weaknesses identified by the OIG.

94-07

11/26/93

United States Marshals Service’s Responsibilities Under the Witness Security Program

28

27

The United States Marshals Service (USMS) is strengthening its PC Banking system to ensure adequate separation of duties between the authorization and disbursement of funds.

01-30

09/28/01

United States Marshals Service Annual Financial Statement Fiscal Year 2000

21

20

The OIG will close this audit report when annual financial statement audit testing substantiates that all corrective measures have been implemented.

02-39

09/27/02

United State Marshals Service Annual Financial Statement Fiscal Year 2001

17

14

The OIG will evaluate the status of the remaining open recommendations during annual financial statement audit testing.

03-03

11/04/02

Independent Evaluation Pursuant to the Government Information Security Reform Act FY 2002 - The United States Marshals Service’s Warrant Information System

37

36

The USMS is developing procedures for identifying authorized personnel logging into the Warrant Information System to verify their access privileges meet the USMS’s policies.

03-26

07/30/03

United States Marshals Service Annual Financial Statement Fiscal Year 2002

15

2

The OIG will assess the USMS’s progress in implementing corrective actions during the annual financial statement audit testing.

01-07

02/28/01

U.S. Department of Justice Annual Financial Statement Fiscal Year 2000

7

5

The OIG will ascertain the status of corrective actions during the annual financial statement audit testing.

01-12

03/21/01

Federal Cost Recovery and Program Monitoring in the Equitable Sharing Program

3

2

The Department is conducting a comprehensive cost recovery study to assess the Asset Forfeiture Program’s costs and current recovery practices.

02-06

02/26/02

U.S. Department of Justice Annual Financial Statement Fiscal Year 2001

5

4

The OIG will close this audit report when annual financial statement audit testing confirms that the DOJ components have implemented the necessary corrective actions.

04-13

02/25/04

U.S. Department of Justice Annual Financial Statement Fiscal year 2004

6

2

The OIG will review the status of the open recommendations during the annual financial statement audit testing.

GR-50-98-012

04/02/98

Use of Department of Justice Funds by the Calumet Park, Illinois Police Department

4

0

OJP, COPS and CRM are working with the grantee to address the audit recommendations and remedy the cost exceptions.

Various

63 COPS Grantees

471

219

COPS is working with the grantees to remedy the actual cost exceptions and compile the required documentation related to redeployment, retention planning and supplanting.

Various

37 COPS Single Audit Act Reports

94

30

COPS and OJP are working with the grantees to address the audit recommendations and remedy the cost exceptions.

Various

20 OJP Grantees

187

72

OJP is coordinating with the grantees to address the audit recommendations and cost exceptions.

Various

56 OJP Single Audit Act Reports

239

102

OJP is working with the grantees to rectify the weaknesses identified by the OIG and remedy the cost exceptions.