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OIO - OTR Proactive Survey at OTR's Returns Processing Administration

Office of the Chief Financial Officer

Executive Summary for In Progress Reports

As of November 30, 2012

Original Reports

Report No. 12-02-01: OTR: Proactive Survey at the OTR’s Returns Processing Administration, dated July 10, 2012.

Current Status

In Progress. 

Issues: Availability and streamlining of resources to manage additional workload caused by enhancing the filter to include a higher population of review items.

Chief Risk Officer’s Risk Assessment

The Inherent Risk associated with individual income tax refund fraud is classified as high. While the OCFO recognizes it cannot achieve a zero-risk profile due to other risks to its mission, including financial risk, customer service risk, efficiency risk, it is committed to a robust suite of controls- classified as strong- to mitigate this risk.  Given the classification as High risk, particular emphasis was given all OIO recommendations.   

Overview of Recommendations

Three recommendations were provided, and one has been implemented. Work done to strengthen the existing internal controls included the following:

  • The Office of Contracts now includes a standard clause to allow the District to conduct background investigations on its contractors in any new contracts or renewals for OTR temporary services. Working in conjunction with OIO, beginning in February 2012 all current and any future temporary employees are required to complete the "Authorization for Release of Information" to be submitted to OIO.

 One of the recommendations is still In Progress and requires technology support. 

  • In October 2012, OTR and TSG reviewed all ITS criteria. Research and analysis of the existing filters gave rise to opportunities to enhance the filters to capture additional potentially fraudulent returns.  OTR is currently performing analysis on the impact of the added workload to existing resources to determine the best approach to both managing risk and managing its limited resources.

In regards to the final recommendation, OTR will not implement.

  • OTR has determined that deploying resources to fix problem transactions at this time is not the best use of its resources. However, OTR has formed a team to transition information to the new ITS replacement system.  This effort includes the creation of an interim file to be migrated to the new system. 

To view the full report, click: OTR Proactive Survey at OTR's Returns Processing Administration.