Office of the Secretary (PDF). Audit No. 402

OFFICE OF THE SECRETARY EXECUTIVE SUMMARY We conducted an audit of the Commission's Office of the Secretary (OS or Office). The audit found that the Office was generally effective and efficient in its operations, although some controls and procedures should be strengthened. We recommend that the Office improve controls over the issuance and collection of government passports, process public comment letters more effectively, consider discontinuation of the SEC Docket (Docket), post forms to a central location on the Commission’s Intranet site (Insider), improve controls for terminating access to electronic systems when employees separate, upgrade or replace the Integrated Library System, improve the Library’s acquisitions process, and provide additional research assistance to Commission staff. We also recommend that other Commission divisions and offices improve the accuracy of certain Commission orders, timely forward effectiveness and confidential treatment orders to OS and post them to Electronic Data Gathering and Retrieval system (EDGAR), consolidate Commission-wide administrative e-mails, and ensure that public forms posted to the Internet contain current OMB numbers. Commission officials began to implement some recommendations during the audit. We commend them for these efforts. SCOPE AND OBJECTIVES Our audit objective was to evaluate the operational effectiveness and efficiency of the Office’s activities. During the review, we ...