Review of Research Service Equipment and Facility Management, Eastern Colorado Health Care System

Report Information

Issue Date
Report Number
16-02742-77
VISN
State
Colorado
District
VA Office
Veterans Health Administration (VHA)
Report Author
Office of Audits and Evaluations
Report Type
Audit
Recommendations
16
Questioned Costs
$0
Better Use of Funds
$0
Congressionally Mandated
No

Summary

Summary
The former Chairman of the U.S. House of Representatives, Committee on Veterans’ Affairs requested the OIG investigate allegations of widespread equipment mismanagement at the research laboratories of the Eastern Colorado Health Care System (ECHCS) in Denver, Colorado. The OIG substantiated the wide range of allegations about ECHCS Logistics and Research Services’ mismanagement of research equipment, materials, specimens, and that its research facilities, chemicals, and Personally Identifiable Information were inadequately secured. The identified issues occurred because the ECHCS Chief Logistics Officer and Research Service Administrative Officer did not ensure their staff consistently complied with VA policies, procedures, and guidance related to management and accountability of equipment. Until controls are in place to ensure staff follow applicable equipment management policies, the risk that equipment will be mismanaged continues to exist. The OIG was also asked to determine the amount of money wasted because of any mismanagement, the identity of responsible officials, corrective actions taken to address the underlying causes of any mismanagement, and to evaluate the appropriateness of certain equipment transfers to the University of Colorado (UC) research facilities. The OIG could not determine a precise amount of money wasted on equipment due to mismanagement by VA staff, as the majority of the equipment sampled was near the end of or beyond its useful life span and likely had little to no residual monetary value. The OIG concluded that while the equipment users and the ECHCS Medical Center Director are required to properly manage equipment, the ECHCS Research Administrative Officer and the Chief Logistics Officer said management of research equipment was one of their primary responsibilities. The OIG noted the ECHCS Medical Center Director implemented an action plan that included processing the existing unrequired and abandoned equipment. The OIG did not identify anything inappropriate with the transfer of VA research equipment to UC. The OIG recommended ECHCS improve equipment accountability controls, materials and specimen monitoring, and facility security.

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 Health Administration (VHA)
The OIG recommended the VA Eastern Colorado Health Care System Director establish a policy requiring the Research Service implement a process to identify all accountable equipment annually that does not have a barcode label, and ensure these items are communicated to the Logistics Service so they receive a barcode label and are recorded in the automated inventory system.
No. 2
Closed and Implemented Recommendation Image, Checkmark
to Veterans Health Administration (VHA)
The OIG recommended the VA Eastern Colorado Health Care System Director develop an action plan that would ensure all Research Service sensitive information technology equipment is assigned to an information technology equipment inventory list.
No. 3
Closed and Implemented Recommendation Image, Checkmark
to Veterans Health Administration (VHA)
3. The OIG recommended the VA Eastern Colorado Health Care System Director implement a training program to ensure Information Technology, Research, and Logistics Service staffs are properly trained to enable them to identify and place sensitive information technology equipment under control.
No. 4
Closed and Implemented Recommendation Image, Checkmark
to Veterans Health Administration (VHA)
The OIG recommended the VA Eastern Colorado Health Care System Director implement a policy requiring the Logistics Service perform recurring, at least annually, quality reviews of Research Service automated equipment data to identify and correct incomplete, inaccurate, and unreliable records, maintain copies of the reviews, and provide the completed reviews to the director.
No. 5
Closed and Implemented Recommendation Image, Checkmark
to Veterans Health Administration (VHA)
The OIG recommended the VA Eastern Colorado Health Care System Director implement a policy requiring the Logistics Service perform recurring quality reviews, at least annually, to ensure equipment transaction records are maintained, logically organized, and easily accessible for assigned research equipment, in accordance with policy.
No. 6
Closed and Implemented Recommendation Image, Checkmark
to Veterans Health Administration (VHA)
The OIG recommended the VA Eastern Colorado Health Care System Director develop a local policy requiring the Logistics Service to perform recurring reviews of inventory dates for all Research Service accountable equipment and sensitive items, to ensure all equipment has been inventoried on an annual basis, which is from the month of completion to the next 12-month period, as required by VA Handbook 7002.
No. 7
Closed and Implemented Recommendation Image, Checkmark
to Veterans Health Administration (VHA)
The OIG recommended the VA Eastern Colorado Health Care System Director implement a procedure to ensure compliance with the VA Handbook 6500.1 requirement to attach VA Form 0751, Information Technology Equipment Sanitization Certificate, to VA Form 2237, Request, Turn-In, and Receipt for Property or Services, prior to disposal of sensitive information technology equipment.
No. 8
Closed and Implemented Recommendation Image, Checkmark
to Veterans Health Administration (VHA)
The OIG recommended the VA Eastern Colorado Health Care System Director take steps necessary to ensure required Report of Survey actions listed in VA Handbook 7002 are completed for the missing items reported lost by the Research Service on the eight Reports of Survey initiated in calendar year 2015.
No. 9
Closed and Implemented Recommendation Image, Checkmark
to Veterans Health Administration (VHA)
The OIG recommended the VA Eastern Colorado Health Care System Director require the accountable officer to follow policy, establish, and maintain a Report of Survey register by fiscal year, to track, monitor, and ensure required actions are completed timely.
No. 10
Closed and Implemented Recommendation Image, Checkmark
to Veterans Health Administration (VHA)
The OIG recommended the VA Eastern Colorado Health Care System Director ensure there are an adequate number of officials who have the required training to complete Report of Survey actions so Reports of Survey can be fully processed, timely.
No. 11
Closed and Implemented Recommendation Image, Checkmark
to Veterans Health Administration (VHA)
The OIG recommended the VA Eastern Colorado Health Care System Director implement a mechanism to ensure all Research Service Custodial Officers complete their required annual Custodial Officer’s training.
No. 12
Closed and Implemented Recommendation Image, Checkmark
to Veterans Health Administration (VHA)
The OIG recommended the VA Eastern Colorado Health Care System Director ensure Delegation of Authority letters for all current Research Service Custodial Officers are completed in accordance with VA Handbook 7002.
No. 13
Closed and Implemented Recommendation Image, Checkmark
to Veterans Health Administration (VHA)
The OIG recommended the VA Eastern Colorado Health Care System Director ensure all materials and specimens are stored in a freezer with a remote temperature monitoring system.
No. 14
Closed and Implemented Recommendation Image, Checkmark
to Veterans Health Administration (VHA)
The OIG recommended the VA Eastern Colorado Health Care System Director ensure exterior doors on Research Service buildings are repaired so they consistently lock upon closure.
No. 15
Closed and Implemented Recommendation Image, Checkmark
to Veterans Health Administration (VHA)
The OIG recommended the VA Eastern Colorado Health Care System Director ensure all exterior doors to Research Service buildings are secured by self-closing doors with automatic locking upon closure with access by keycard or a system that is equal to or exceeds the security of a keycard system.
No. 16
Closed and Implemented Recommendation Image, Checkmark
to Veterans Health Administration (VHA)
The OIG recommended the VA Eastern Colorado Health Care System Director establish procedures to timely decommission vacant laboratories, and collect, store or dispose of unused chemicals and personally identifiable information in accordance with applicable policies.