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Inspector General Open Recommendations
07/13/2020
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National Science Foundation
Performance Audit of Incurred Costs –University of North Carolina, Chapel Hill
[Report Details]
Audit
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Open Recommendations
Finding 4, Rec. 6
Direct UNC to strengthen its administrative and management processes and procedures surrounding the allocation of publication expenses. Processes could include requiring the Office of Sponsored Research (OSR) to verify that a publication specifically recognizes sponsored funding from the proposed federally sponsored project(s) before UNC charges the publication cost to sponsored funding source(s).
Finding 4, Rec. 5
Direct UNC to strengthen its administrative and management processes and procedures surrounding the allocation of equipment expenses to NSF awards. Processes could include requiring purchasers to justify the methodology they used to determine the percentage of the expense that should be directly allocable to sponsored funding sources before UNC charges the sponsored funding sources.
Finding 4, Rec. 4
Direct UNC to strengthen its administrative and management processes and procedures surrounding the approval of travel expense reports. Processes could include conducting annual training for those individuals responsible for reviewing and approving each department’s expense reports.
Finding 4, Rec. 3
Direct UNC to strengthen its administrative and management processes and procedures surrounding the approval of materials and supplies, travel, equipment, and other direct costs charged or transferred to an NSF award near the award’s expiration date. Processes could include updating UNC’s grant close-out procedures to require a more thorough review of non-payroll expenses charged to a grant within the final 90 days of the grant’s POP.
Finding 4, Rec. 2
Direct UNC to provide support verifying that it has repaid or otherwise credited the $61,496 of questioned materials and supplies, travel, equipment, and other direct costs for which it has agreed to reimburse NSF.
Finding 4, Rec. 1
Resolve the $26,505 in inappropriately allocated materials and supplies, travel, and equipment costs for which UNC has not agreed to reimburse NSF and direct UNC to repay or otherwise remove the sustained questioned costs from its NSF awards.
Finding 3, Rec. 2
Direct UNC to strengthen the administrative and management controls and processes over its ACM$ reconciliation process. Processes could include requiring an individual who is independent from the standard ACM$ drawdown process to perform periodic reconciliations of ACM$ cash drawdowns to UNC general ledger expenses for each active NSF award.
Finding 3, Rec. 1
Direct UNC to provide support verifying that it has repaid or otherwise credited the $103,250 of questioned unsupported ACM$ cash drawdowns for which it has agreed to reimburse NSF.
Finding 2, Rec. 2
Direct UNC to strengthen the administrative and management controls and processes over transferring significant parts of federally funded research to other organizations. Processes could include: a. Establishing procedures to require that, before issuing a subaward for NSF-sponsored research, UNC verify that the subaward was specifically approved (a) within the NSF grant budget, or (b) through a formal request to transfer a significant amount of the research or effort submitted and approved through NSF’s FastLane system, before issuing a subaward. b. Requiring periodic training for PIs and other personnel responsible for entering into subaward agreements.
Finding 2, Rec. 1
Resolve the $164,313 in questioned subaward costs and direct UNC to repay or otherwise remove the sustained questioned costs from its NSF awards.
Finding 1, Rec. 7
Direct UNC to strengthen its administrative and management processes and procedures surrounding the reconciliation and tracking of gift cards or other prepaid cards. Updated procedures could include: a. Establishing a standard document for tracking the disbursement of gift cards. b. Updating its policies and procedures to require that departments maintain gift card disbursement logs to support all gift card expenses claimed on cash advance reconciliations. c. Requiring that employees keep itemized receipts for all expenses paid using prepaid cards.
Finding 1, Rec. 6
Direct UNC to strengthen its administrative and management processes and procedures surrounding the internal service center billing process. Updated procedures could include: a. Conducting annual training for those individuals responsible for billing internal service expenses within each center. b. Developing standard billing processes for each center that establish how the center will bill direct material expenses to UNC departments and external users. c. Performing periodic reviews of internal service center invoices to ensure that the centers are billing departments appropriately, using the rate(s) established for each center.
Finding 1, Rec. 5
Direct UNC to strengthen its administrative and management processes and procedures surrounding the approval of vendor and service provider invoices. Updated procedures could include: a. Updating UNC’s invoice approval process to require that the approver verify that costs invoiced by the vendor or service provider are consistent with the costs outlined in the vendor/service agreement. b. Requiring organizations that invoice UNC for conference travel expenses to provide original receipts that support the allowability of the travel expenses and/or justifications to support how the organization established the travel stipend award amounts.
Finding 1, Rec. 4
Direct UNC to strengthen its administrative and management processes and procedures surrounding the approval of travel expense reports. Updated procedures could include: a. Conducting annual training for those individuals responsible for reviewing and approving each department’s expense reports. b. Updating UNC’s travel policies and procedures to specifically identify the level of documentation that travelers must provide to support airfare expenses. c. Establishing clear guidance regarding what types of expenses personnel may pay in cash while conducting on-site fieldwork and how to document those payments.
Finding 1, Rec. 3
Direct UNC to strengthen its policies and procedures related to the creation and retention of documentation, including introducing additional controls to help ensure that UNC appropriately creates and maintains all documentation necessary to support the allowability of expenses charged to sponsored programs.
Finding 1, Rec. 2
Direct UNC to provide support verifying that it has repaid or otherwise credited the $39,389 of questioned equipment, internal service center, salary, and other direct costs for which it has agreed to reimburse NSF.
Finding 1, Rec. 1
Resolve the $136,024 in questioned conference, travel, and AURA service costs and direct UNC to repay or otherwise remove the sustained questioned costs from its NSF awards.
07/10/2020
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Department of Health & Human Services
Medicaid Data Can Be Used To Identify Instances of Potential Child Abuse or Neglect
[Report Details]
Audit
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Open Recommendations
269026
We recommend that the Centers for Medicare & Medicaid Services assess the sufficiency of existing Federal requirements to report suspected child abuse and neglect of Medicaid beneficiaries to determine whether it should strengthen those requirements or seek additional authorities to provide oversight over the reporting of suspected child abuse and neglect of Medicaid beneficiaries.
269025
We recommend that the Centers for Medicare & Medicaid Services issue guidance, such as an Informational Bulletin, to inform States that performing a data analysis to identify Medicaid claims containing one or more diagnosis codes indicating potential child abuse or neglect could help identify incidents of potential child abuse or neglect and help ensure compliance with the States’ mandatory reporting laws.
07/09/2020
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Department of Energy
The Department of Energy’s Federal Employee Substance Abuse Testing Program
[Report Details]
Audit
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Open Recommendations
3
Ensure that Local Substance Abuse Program Coordinators are aware of and comply with their responsibilities, which include providing or securing supervisor training and periodically providing Testing Designated Position updates to the Program Manager.
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