Review of Alleged Data Manipulation and Mismanagement at VA Regional Office Philadelphia, PA

Report Information

Issue Date
Report Number
14-03651-203
VISN
State
District
VA Office
Veterans Benefits Administration (VBA)
Report Author
Office of Audits and Evaluations
Report Type
Audit
Recommendations
35
Questioned Costs
$0
Better Use of Funds
$0
Congressionally Mandated
No

Summary

Summary
In late May 2014, the VA Office of Inspector General (OIG) began receiving a number of allegations through the VA OIG Hotline of mismanagement at the Philadelphia Regional Office (VARO). Many of these allegations included indicators that staff had a serious mistrust of VARO management. On June 19, 2014, VA OIG benefits inspectors, auditors, and criminal and administrative investigators began a comprehensive review of conditions at the Philadelphia VARO. Overall, OIG staff conducted over 100 interviews with VARO management and staff to assess the merits of multiple allegations of wrongdoing. We substantiated serious issues involving mismanagement and distrust of VARO management impeding the effectiveness of its operations and services to veterans. Overall, OIG made 35 recommendations for improvement at the Philadelphia VARO, encompassing mismanagement of VA resources resulting in compromised data integrity, lack of financial stewardship, and lack of confidence in management’s ability to effectively manage workload, to include mail management and in protecting documents containing personally identifiable information. There is an immediate need to improve the operation and management of this VARO and take actions to ensure a more effective work environment. Further, the extent to which management oversight has been determined to be ineffective and/or lacking requires VBA’s oversight and action. It is imperative to ensure VBA leadership and the VARO Director implement plans to ensure the unprocessed workload we identified is processed and to provide appropriate oversight that is critical to minimizing the potential future financial risk of making inaccurate benefit payments. This includes maintaining oversight needed to ensure all future workload is processed timely and in ensuring the accurate and timely delivery of benefits and services.

Open Recommendation Image, SquareOpenClosed and Implemented Recommendation Image, CheckmarkClosed-ImplementedNot Implemented Recommendation Image, X character'Closed-Not Implemented
No. 1
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits convene an Administrative Investigation Board to determine if VA Regional Office management intentionally misapplied the guidance as a means to remove aging claims from its inventory.
No. 2
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits review leadership performance and restore accountability for completing work requirements in accordance with Veterans Benefits Administration policy.
No. 3
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Philadelphia VA Regional Office Director implement a plan to ensure staff follow the standardized checklist when conducting and entering internal quality reviews results.
No. 4
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Philadelphia VA Regional Office Director take appropriate administrative action to hold staff accountable for altering quality review results.
No. 5
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Philadelphia VA Regional Office Director conduct a review of the 52 altered quality reviews to determine if the altered results affected veterans' benefits or an individual's performance and take corrective actions as required.
No. 6
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Philadelphia VA Regional Office implement a plan to ensure and effectively monitor staff enter appealed claims in Veterans Appeals Control and Locator System within 7 days to ensure accurate and timely reporting to stakeholders.
No. 7
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Philadelphia VA Regional Office Director implement a plan to ensure efficient operations when processing appealed claims, to include determining if additional staffing is required to process approximately 700 appealed claims from another VA Regional Office.
No. 8
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits implement a contingency plan to address backlogged inquiries received through the Inquiry Routing and Information System to ensure timely responses are provided to veterans and their families.
No. 9
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits clarify timeliness goals for responding to inquiries received through the Inquiry Routing and Information System.
No. 10
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits modify performance measures to include the number of pending electronic inquiries awaiting responses from VA Regional Office staff.
No. 11
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Philadelphia VA Regional Office Director ensure supervisory staff receive refresher training on records management disposition.
No. 12
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Philadelphia VA Regional Office Director implement a plan that includes periodic reviews of records maintained by supervisory staff to ensure records are disposed of according to the records control schedule.
No. 13
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits establish policies and procedures to standardize procedures for merging duplicate records that includes timeliness goals and oversight responsibility.
No. 14
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Philadelphia VA Regional Office Director take immediate action to merge the 248 duplicate records identified during our review and take timely action to terminate any improper payments associated with those records.
No. 15
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits develop and implement a plan to routinely provide VA Regional Office staff a listing of duplicate records and payment information so timely, corrective actions can be taken to merge the records and terminate improper payments.
No. 16
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits clarify policies and procedures related to recouping improper payments resulting from duplicate records.
No. 17
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits revise policies and procedures to emphasize VA Regional Offices must minimize the number of date stamps issued, limit use of date stamps to authorized staff, and control date stamp keys as measures to prevent and deter potential fraudulent activity.
No. 18
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits direct the Philadelphia VA Regional Office Director ensure staff process all mail concerning beneficiaries in the mailroom within 6 hours of receipt.
No. 19
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits initiate independent, unannounced reviews of the Philadelphia VA Regional Office to ensure staff process mail within 6 hours of receiving the mail.
No. 20
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits develop and implement a plan to ensure VA Regional Office staff prioritize scanning documents to the Veterans Benefits Administration's electronic repository to ensure the documents are timely associated with electronic claims folders.
No. 21
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits develop and implement a timeliness goal for scanning and uploading documents to the Veterans Benefits Administration's electronic repository.
No. 22
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits examine the effectiveness of Pension and Fiduciary Services' strategies for following up and closing out recommendations for improvement resulting from site visits.
No. 23
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits develop and implement a plan to ensure Philadelphia VA Regional Office staff take action to process its backlog of returned mail.
No. 24
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits develop and implement a timeliness goal for VARO Offices to process returned mail.
No. 25
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits implement procedures to ensure the improvement actions identified and recommended by VBA's internal review teams are appropriately addressed.
No. 26
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits develop and implement standardized procedures that includes an audit trail for the destruction of military file mail.
No. 27
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits develop and implement a plan to conduct routine accuracy reviews of mail categorized as military file mail prior to destruction.
No. 28
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits conduct an independent review of all military file mail pending destruction at the Philadelphia VA Regional Office.
No. 29
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Philadelphia VA Regional Office Director ensure claims processing staff at the Philadelphia Pension Management Center receive refresher training on identifying and processing military file mail.
No. 30
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits develop and implement a plan to ensure Philadelphia VA Regional Office staff associate the remaining backlog of drop mail with veterans' claims.
No. 31
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits develop and implement a plan that includes a timeliness goal to ensure mail is associated with electronic or paper claims folders prior to claims processing actions.
No. 32
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Philadelphia VA Regional Office Director develop a plan that includes routine supervisory reviews of all space accessible by VA Regional Office staff as a measure to prevent improper storage of documents containing personally identifiable data.
No. 33
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Under Secretary for Benefits take immediate action to ensure Veterans Benefits Administration workspace complies with VA Occupational Safety and Health requirements contained in Federal laws, regulations, and executive orders.
No. 34
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommended the Philadelphia VA Regional Office Director ensure veterans' records and VA equipment are adequately safeguarded.
No. 35
Closed and Implemented Recommendation Image, Checkmark
to Veterans Benefits Administration (VBA)
We recommend the Under Secretary for Benefits conduct an independent review of production standards for the Pension Call Center staff to determine if the timeliness standard is reasonable and obtainable without comprising the quality of customer service to callers.