Open Recommendations

Develop, document, and implement a process for analyzing excess service reports, identifying trends, and communicating results to enforcement staff.

Improve how excess service reports are submitted by railroads or processed by FRA to facilitate data collection and analysis.

Formally document the HOS audit process, including factors to consider when selecting railroads for audit (such as complaints, excess reports, and/or other factors), in a compliance manual or SOP.

Update the OP Compliance Manual, the Signal Compliance Programs and Policies, and/or General Manual to clarify the definitions of HOS-related activity codes for OP and S&TC disciplines so that inspectors can accurately record activities that do not result in findings of noncompliance and include specific guidance to inspectors completing HOS-related inspection reports, including the correct use of source codes for specific HOS activities, and when multiple same-day HOS reports should be created.

Modify the Railroad Inspection System for Personal Computers (RISPC) to only accept correct HOS-related inspection report entries and add activity codes to record defects and violations of 49 C.F.R. 228.407.

Develop and implement training for OP and S&TC Division specialists and inspectors on reporting HOS-related inspections correctly, including the mandatory use of activity code 228 in conjunction with either HSL or 228P, and the meaning of those activity codes.

Develop, document, and implement a review process that includes the HOS SME to check the accuracy of HOS-related inspection reports.

Document and implement HOS oversight planning processes, including guidance on data sources that should be used to inform planning.

Document the current RCS configuration that shows formulas for calculations performed by the system and data sources.

Finalize the process document for conducting a baseline review of all passenger railroads subject to 49 C.F.R. 228.407 and complete the baseline review.

The Chief of Staff ensures service chiefs regularly complete Ongoing Professional Practice Evaluations for each licensed independent practitioner.

The Chief of Staff ensures providers complete the Comprehensive Suicide Risk Evaluation the same calendar day as a patient’s positive suicide risk screen in all ambulatory care settings.

Develop a plan for future similar programs to leverage applicable existing SBA data sources when determining eligibility and monitoring awards. The plan should include requirements to evaluate effectiveness of the use of the data as controls to reduce risk of improper payments.

Validate historical sales for 47,565 awards designated or treated as Tier 2 that failed or did not receive IRS validation. Recover any excess funds paid that are attributable to unverified historical sales data.

Review the 3,443 applicants awarded funds totaling $376,583,100 that self-certified as a brewery or inn, to determine if they met the 33 percent onsite sales eligibility requirement and recover any funds from applicants that did not meet the requirement.

In accordance with Public Law 117-2, § 5003(a)(4)(A)(i) take immediate action to review and recover improper payments from the 14 affiliated business groups disclosed by RRF applicants for a total of $55,067,326 in excess funds paid, beyond the $10 million limit per affiliated group.

Review the 16,345 applicants that disclosed having an affiliated business to determine if the amounts collectively awarded to the applicant and affiliates exceeded the $10 million maximum and recover any excess awards.

Embassy Lilongwe should comply with Department guidance for consular cashier operations.

Embassy Lilongwe should bring its nonimmigrant visa application process into compliance with Department standards.

Embassy Lilongwe should implement standard operating procedures for management of federal assistance awards to ensure compliance with Department standards.

Embassy Lilongwe should bring its safety, health, and environmental management program into compliance with Department standards.

Embassy Lilongwe should bring its fire protection program into compliance with Department standards.

Embassy Lilongwe, in coordination with the Bureau of Overseas Buildings Operations, should conduct the required annual review of the Zomba Mountain Cottage to determine whether the property is economical to retain and if continued U.S. government ownership of the property is justified.

Embassy Lilongwe should manage its bulk fuel operation in accordance with Department standards.

Embassy Lilongwe should obtain authorization from the Bureau of Overseas Buildings Operations to use shipping containers for storage or remove them in accordance with Department standards.