Open Recommendations

Ensure the Alliance designs and implements a monitoring plan that demonstrates how planned activities will adhere to its risk-based monitoring requirement.

Ensure the Alliance completes its annual financial site visits in accordance with its Member Center Financial Oversight Policy and implements its updated procedures requiring follow-up with member centers when findings are identified.

Ensure the Alliance enhances its programmatic monitoring policies and procedures to include substantive procedures detailing how monitoring officials should review program-related information and develop procedures to ensure that member centers comply with VOCA requirements.

Ensure the Alliance develops and implements written policies and procedures for taking timely and corrective action on all monitoring findings significant within the context of the VOCA program.

Ensure the Alliance develops and implements a strategy to ensure that subrecipient PMT data is complete and accurately reflects activities supported by VOCA.

Ensure the Alliance develops and implements updated written financial policies and procedures that ensure compliance with the DOJ Grants Financial Guide requirement that drawdowns be based upon
immediate disbursement or reimbursement needs.

The Bureau of Economic and Business Affairs should implement standard operating procedures for planning and managing foreign assistance programs and federal assistance awards in accordance with Department standards.

The Bureau of Economic and Business Affairs should implement a training plan for staff responsible for planning and managing foreign assistance programs and federal assistance awards.

The Bureau of Economic and Business Affairs, in coordination with the Bureau of Administration, should bring its contract and contracting officer's representative files into compliance with Department and federal guidance.

The Bureau of Economic and Business Affairs should require information systems security officers to perform their duties in accordance with Department standards.

The Bureau of Economic and Business Affairs should implement a records management program that complies with Department standards.

The Bureau of Economic and Business Affairs should implement knowledge management procedures for capturing, sharing, transferring, and retaining information related to its information management program.

Revise Roadway Worker Protection activity codes or guidance to capture when an inspector reviews on-track safety programs or manuals in part or in full.

Train all safety inspectors and Specialists on how to accurately capture Roadway Worker Protection inspection activities using the correct Roadway Worker Protection activity codes and, when needed, descriptions of their work.

Remove Roadway Worker Protection activity and defect codes from the next version of the Track and Structures Compliance Manual.

Incorporate current Roadway Worker Protection-related activity code definitions into the system inspectors use to record inspection reports, currently the Railroad Inspection Systems for Personal Computers.

Develop and implement a process for updating the code definitions in the system inspectors use to record inspection reports, currently the Railroad Inspection Systems for Personal Computers, when Roadway Worker Protection activity and defect codes are changed.

Add instructions for planning 49 C.F.R. Part 214 work to the Universal Inspection Planning Process with Territory Inspection Plans guidance.

Use the Track and Structures Communications Hub or other FRA system to provide frequently updated Roadway Worker Protection-related data that inspectors can use to inform their oversight by identifying railroads, locations, or practices that pose higher risks to roadway workers.

Develop, document, and implement automatic data quality checks on the data warehouse that transmits data for DataHub's FRA Inspection Defect Details Report.

Develop, document, and implement quality assurance/quality controls and standardized on-demand reporting for FRA's new Secure Site.

Develop and implement guidance for when it is appropriate to perform and how to document on-track safety program reviews, including documentation of new or change notifications received, approval and disapproval notifications, and, when reviews occur, completed on-track safety program review checklists.

Develop and implement centralized storage for documentation of FRA's Roadway Worker Protection oversight including but not limited to on-track safety program notifications, correspondence on approvals/disapprovals, review checklists, and training materials.

Add a warning or disclaimer to future Annual Enforcement Reports that include legacy cases stating that the number of violations associated with cases and the violation totals published in Appendix A may be incorrect.

Develop a standard operating procedure to ensure that the OCFO is 1) monitoring the DNP Computer Matching agreement to ensure continuity, 2) reporting accurately on its DNP matching, and 3) working with program offices to adjudicate any payments that are identified as potentially improper during the computer matching process.