Office of the Chief Financial Officer
Executive Summary for Closed Reports

Original Report

Report No. OIO-10-1-02-IT:  Final Report on the Follow-up Survey of the Security Divisions Operations at the DCLB, dated January 14, 2011.

Current Status

Closed.

Chief Risk Officer’s Risk Assessment

The Inherent Risk associated with the security of the games and supporting technology for the District of Columbia Lottery Board (DCLB) is classified as High risk.  Therefore, particular emphasis is placed on OIO’s recommendations.

Recommendations Overview
OIO provided nine recommendations, and all nine were implemented in an effort to strengthen internal controls.

• DCLB has written policies and procedures specifically dealing with Comprehensive Case Management, Tracking and Review.
• DCLB developed and implemented an automated case system that provides a more streamlined process, including the capability to generate reports and a universal log to capture all of the relevant information.
• DCLB has ensured that the Custodian of Records (COR) is not a collateral duty, maintains a viable case file tracking system, ensures working papers are physically maintained in a central location, and enforces individual accountability for case management procedures.
• DCLB ensures that all investigative leads are exhausted and work is being properly documented and completed in a timely manner.  In addition, all completed investigations are carefully reviewed and meet industry quality standards.
• DCLB has a completely automated process that notifies the Security Division (SD) when employees are separated.
• DCLB SD has incorporated the OCFO’s Code of Conduct and DCLB's policy on workplace violence into the contract security company’s Uniformed Officer Policy and Procedures Manual.
• DCLB staggers work hours and tours of duty to accommodate Multi-State Lottery Association (MUSL) requirements without generating uncompensated overtime issues.
• Training is included in all Individual Performance Plans (IPPs).
• Management’s style and approach continue to be proactive.

To view the full report, click Survey of Security Divisions Operations at DCLB Full Report.