Open Recommendations

Revise examiner guidance to ensure supervisory personnel consider significant delays in required financial filings and any associated perspectives of external auditors when assessing UFIRS ratings.

Revise the FDIC’s Internal Formal and Informal Actions Procedures to include specific process and documentation requirements related to circumstances in which an approved formal enforcement action is replaced with a less severe action.

Develop detailed guidance that clarifies what information should be considered when assessing whether it is appropriate to approve a brokered deposit waiver for “Adequately Capitalized” IDIs.

Incorporate the BIA results into USITC's overall contingency planning efforts, as well decisions regarding risk, priorities, security, and the budget.

We recommend that the Health Resources and Services Administration require the six hospices identified in our report as having used PRF payments for unallowable expenditures, totaling $8,306,519, to return the PRF payments to the Federal Government or ensure that the hospices properly replace the unallowable expenditures with allowable unreimbursed lost revenues or eligible expenses, if applicable.

We recommend that the Health Resources and Services Administration work with the hospice identified in our report as having used $3,967,025 of its PRF payments for potentially unallowable expenditures to determine what amounts should have been allocated and require the hospice to return unallowable amounts to the Federal Government or ensure that the hospice properly replaces these unallowable expenditures with unreimbursed lost revenues or eligible expenses, if applicable.

We recommend that the Maine Department of Health and Human Services, Office of Child and Family Services provide additional training to caseworkers and supervisors as appropriate, to achieve compliance with requirements for the immediate screening, risk and safety assessment, and investigation of reports of child abuse and neglect.

We recommend that the Maine Department of Health and Human Services, Office of Child and Family Services develop written policies and procedures that require its supervisors to review and approve documentation of caseworker interviews with children and adults.

We recommend that the Maine Department of Health and Human Services, Office of Child and Family Services develop written policies and procedures that require its supervisors to monitor aging reports on a weekly basis to promptly identify delays in the investigation process.

We recommend that the Maine Department of Health and Human Services, Office of Child and Family Services develop written policies and procedures that outline the steps a caseworker must take to override a report from screened-out to screened-in and manually input a response time.

We recommend that the Maine Department of Health and Human Services, Office of Child and Family Services develop written policies and procedures that requires supporting documentation to be maintained within Katahdin to demonstrate that written notification letters were sent.

Develop a centralized system and institute a phone log system to modernize and streamline the chartering application process.

Quantify and clarify the deferral process for organizing groups by establishing clear guidelines and milestones to ensure enhanced transparency and understanding.

Post detailed information about the NCUA’s charter deferral process on the agency’s website to clearly communicate expectations and provide organizing groups with a transparent and comprehensive understanding of deferrals within the charter application process.

Establish a structured communication process within the NCUA’s federal credit union chartering process that sets expectations, timeframes, and ownership of responses to inquiries initially directed to the NCUA Board and/or NCUA senior management from charter organizing groups to ensure improved operational effectiveness and customer service.

Include and publish language in the updated version of the AS-701 to clarify the requirements to report lost, stolen, or missing assets or materials to the Postal Inspection Service.

Develop a deployment plan with actionable milestones for the 24-Hour Arrow Key Management System to all facilities using the Arrow keys nationwide, contingent upon the completion of the pilot program.

Review the 187 loans that matched to a related COVID-19 EIDL or PPP loan with a fraud hold code for legitimacy and eligibility. If any of the 187 loans are found to be illegitimate, ineligible, or fraudulent, take appropriate action to 1) prevent disbursement of funds, 2) recover the funds, and 3) refer potentially fraudulent loans to OIG.

We recommend that the Centers for Medicare & Medicaid Services review noncompliant hospitals associated with our findings and, if CMS determines that the hospitals are noncompliant, execute CMS's enforcement measures, to include issuing warning notices, corrective action plans, and/or civil monetary penalties as applicable.

We recommend that the Centers for Medicare & Medicaid Services use the information in this report and consider implementing changes suggested by hospitals, including providing written guidance clarifying the definition of "shoppable services" and developing a training and compliance program that is tailored for smaller hospitals.

We recommend that the Centers for Medicare & Medicaid Services continue to strengthen its internal controls, to include allocating sufficient resources to maintain a robust program of reviews of the hospitals and their compliance with the HPT rule.

We recommend that USAID/Rwanda verify that Never Again Rwanda corrects the one instance of material noncompliance detailed on page 19 of the audit report.

Housing should refine access controls within the FHA Catalyst modules that are dynamic, are tailored to user actions, and require continuous reauthentication to ensure that users have access only to information needed.

Housing should coordinate with HUD's SOC to
a. Ensure that FHA Catalyst user behavior monitoring logs are regularly captured and adequately reviewed for discrepancies in user activities.
b. Establish program office responsibility for the log review process.
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Develop a supply chain risk management strategy that includes (a) a supply chain risk appetite and tolerance, (b) an enterprise supply chain risk management governance structure, and (c) supply chain risk assessment processes that include migration strategies or controls.