Open Recommendations

We recommend the U.S. Assistant Secretary for Occupational Safety and Health develop specific measurable inspection goals for the warehousing National Emphasis Program, including a baseline for the number of inspections to complete and periodically monitor progress toward those goals. Ensure the goals contain metrics that demonstrate the outcomes of the program.

We recommend the Principal Deputy Assistant Secretary for Employment and Training develop a document that captures lessons learned from the implementation of the pandemic-related UI programs that can be used to provide legislative technical assistance and operational guidance to Congress and states on any future emergency UI programs, including an assessment of fraud and fraud prevention methods in programs that allow for self-certification.

Ensure that all 1,286 noncompliant card readers are replaced with Federally compliant card readers and are properly configured.

Determine the cause for the inoperable alarm at Site 6 and resolve the issue to enable alarms to appear in the EPACS Event Viewer.

Discuss and reinforce the updates made to Supervision and Regulation Letter 02-9 in response to recommendation 1 with Reserve Banks through training.

Develop and implement a plan for instructing Community Banking Organization and Regional Banking Organization examiners to take a forward-looking view of a bank’s risk profile and the possible and plausible outcomes of that risk profile when assigning CAMELS composite and component ratings, includinga. guidance for examiners on effectively balancing a bank’s financial results and condition with its risk profile when assigning CAMELS composite and component ratings, particularly for banks with concentrated business models susceptible to boom and bust cycles.b. guidance for examiners on circumstances that warrant a heightened sense of urgency to initiate CAMELS composite or component ratings downgrades, identify…

Develop guidance for examiners on preparing firms to transition from the Community Banking Organization portfolio to the Regional Banking Organization portfolio that includes references to updated and relevant guidance applicable to firms that cross the $10 billion asset size threshold.

Develop a plan to minimize the time necessary to establish a new Regional Banking Organization central point of contact and supervisory team for Community Banking Organizations approaching the $10 billion asset size threshold.

Develop guidance for examiners on supervising firms approaching the $10 billion total assets threshold that describesa. how to prepare for the transition, including the roles and responsibilities of the Board, the Community Banking Organization team, and the Regional Banking Organization team, and the expectations for sharing relevant information between the portfolio teams.b. procedures for developing and updating the supervisory plan before, during, and after the transition.

Develop guidance for examiners on supervising banks projecting or experiencing rapid growth. The guidance should includea. parameters for identifying significant, rapid growth that may hinder a bank’s ability to operate in a safe and sound manner and parameters for identifying when a bank is growing in an unchecked manner based on conditions in the market that have surpassed management’s capability to effectively manage it.b. actions examiners should take as a bank projects or experiences such growth or in response to sustained, unchecked growth, including any expected escalations.c. actions examiners should take when supervising banks susceptible to volatile market conditions.

Develop guidance for banks projecting or experiencing significant, rapid growth that includes expectations for ensuring that they have requisite staff and risk management capabilities and effective key control functions.

Update Supervision and Regulation Letter 02-9 to provide additional details on what may constitute a change in the general character of a state member bank’s business, including providing examiners with a variety of examples or scenarios that could help them to determine when a bank needs to file an application and receive approval from the Board under Regulation H.

The assistant secretary for information technology develop a timeline for updating the security and privacy guidance to reflect the latest revisions to the National Institute of Standards and Technology Special Publication 800-53, Security and Privacy Controls for Federal Information Systems and Organizations, and address identified weaknesses with personally identifiable information and supply chain management.

The assistant secretary for information and technology ensure VA Directive and Handbook 6517 are updated to reflect the revised National Institute of Standards and Technology requirements.

Ensure vulnerabilities are remediated within OIT’s established time frames.

Ensure a video surveillance system is operational and monitored for the data center.

Ensure water detection sensors are implemented in the data center.

Conduct a cost, benefit, and feasibility analysis on potential options for increasing local delivery response rates and developing more easily understood survey terminology.

The Railroad Retirement Board's Bureaus of Information Services should fully implement the corrective actions developed in response to Railroad Retirement Board’s Office of Inspector General Report Number 17-08 recommendations 2, 3, 4, 5, 7, 9, and 10 by the completion timeline.

The Railroad Retirement Board's Bureau of Information Services should develop corrective action plans, to include timelines for completion, for Railroad Retirement Board’s Office of Inspector General Report Number 17-08 recommendations 6, 12, and 13.

The Railroad Retirement Board's Bureau of Information Serivces should establish a process to maintain detailed corrective action plans for all records and information management internal control deficiencies.

The Railroad Retirement Board’s Bureau of Information Services should develop action plans, with timelines for estimated completion, for the following fiscal year 2021 Federal Manager’s Financial Integrity Act Report program process improvements:• Program Process Improvement 7: Complete a comprehensive update of the Railroad Retirement Board’s Records Schedule Disposition Handbook; and • Program Process Improvement 8: Incorporate all new National Archives and Records Administration Digital Preservation Guidance into Railroad Retirement Board’s Records Management policies and procedures by June 30, 2024.

The Railroad Retirement Board's Bureau of Information Services should create a corrective action plan to ensure requirements identified in Administrative Circular Information Resources Management 4 have been implemented.

The Railroad Retirement Board's Bureau of Information Services should update Administrative Circular Information Resources Management 4 to include procedures that the Bureau of Information Services staff must implement in the absence of a records liaison.

The Railroad Retirement Board's Bureau of Information Services should develop a checklist to enable Bureau Heads to be made fully aware of their responsibilities and verify that their bureau or office complies with each requirement in Administrative Circular Information Resources Management 4.