| 1 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should develop and document a comprehensive set of controls over the entirety of the 12(o) lien process and consolidate those controls into a singular location so that they are both easily referenced and tested.
|
| 2 |
No |
$358,800,000 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should implement a comprehensive tracking system for 12(o) liens to ensure that all 12(o) liens are identified, monitored, and collected.
|
| 3 |
No |
$0 |
$0 |
Management does not concur with this recommendation. This recommendation remains open because the Office of Inspector General for the Railroad Retirement Board continues to see the need for the recommended corrective action. |
|
The Office of Programs should develop a system that calculates and tracks the portion of sickness payments subject to be recovered from potential 12(o) liens.
|
| 4 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should develop policies and procedures to validate that employees are accurately differentiating between infirmaries and Railroad Unemployment Insurance Act benefits subject to 12(o) liens and those not subject to 12(o) liens for beneficiaries.
|
| 5 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should develop controls to ensure that Railroad Unemployment Claims System codes are properly updated after the report of settlement.
|
| 6 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should update its policies and procedures to address the two 12(o) lien requirements defined in Code of Federal Regulations Title 20 Section 341.8, Termination of sickness benefits due to a settlement, dated September 8, 2006.
|
| 7 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should formally request that railroads stop using outdated forms in the 12(o) lien process to ensure consistency and accuracy of all transactions with outside entities, and to promote a uniform 12(o) lien process.
|
| 8 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should work with the Bureau of Field Service, to update the Field Operating Manual to correctly reference the financial management system at the time of this audit, Financial Management Integrated System, and remove references to obsolete systems, such as the Program Accounts Receivable System.
|
| 9 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should update the Division of Program Operations Manual to correctly reference the financial management system at the time of this audit, Financial Management Integrated System, and remove references to obsolete systems, such as the Program Accounts Receivable System.
|
| 10 |
No |
$0 |
$0 |
Management does not concur with this recommendation. This recommendation remains open because the Office of Inspector General for the Railroad Retirement Board continues to see the need for the recommended corrective action. |
|
The Office of Programs should develop controls to independently verify the outcome of a claimant’s settlement.
|
| 11 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should update policies to require claims examiners to request additional information when claimants indicate that they were not injured at work, but do not specify whether they are pursuing a settlement in the sickness application.
|
| 12 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should develop a control to require a review of the total lien value established in the agency’s financial system.
|
| 13 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should develop controls to monitor the output generated from the automatic referral system.
|
| 14 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should update their policies to ensure the annual status reports are sent for each case open against a railroad employer for more than three years, in accordance with policies.
|
| 15 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should formalize a training curriculum so employees can correctly handle 12(o) lien casework and maintain the integrity of data and records on file in all 12(o) lien cases, thereby recovering all funds to which the agency is entitled to reimbursement.
|
| 16 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should develop a method for recording the date the Railroad Retirement Board is notified of a 12(o) lien settlement.
|
| 17 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should develop an internal control to ensure that 12(o) lien receivables are established and collected timely, in accordance with applicable criteria.
|
| 18 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should develop an internal control to verify that all debts referenced on the daily lists generated by the RUIA Daily Claims Processing System are transferred to the Financial Management Integrated System by the Railroad Retirement Board’s contracted service provider.
|
| 19 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should update the language in its Division of Program Operations Manual to reflect terminology consistent with the lien reduction process in lieu of the term “waivers.”
|
| 20 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should update their policies for sending the letter requesting copies of billing documents as proof that the claimant paid the medical expenses related to the infirmity for which the employer was held liable; the letter to notify the employer that the claimant has provided evidence to result in a lien reduction; and the letter to notify the claimant of an investigation into medical expenses for a potential lien reduction to reflect the practice at the time of this audit.
|
| 21 |
No |
$0 |
$0 |
Management concurred with this recommendation. |
|
The Office of Programs should develop internal controls to require supervisory approval for the submission of the letters sent to inform inquirers of the amount of Railroad Retirement Board’s claim to reimbursement once the supervisor has approved the reconciliation form calculating the amount owed by the claimant.
|
