OFFICE OF INSPECTOR GENERAL
.jpg)
.jpg)
Office of Inspector General
May 30, 2008
The Honorable Naomi C. Earp
Chair
Equal Employment Opportunity Commission
Washington, D.C. 20507
Dear Madam Chair:
The Office of Inspector General’s (OIG’s) Semiannual Report to Congress, summarizing our activities for the six-month period of October 1, 2007, through March 31, 2008, is provided for your review. The Inspector General Act of 1978, as amended, Public Law 95-451, Section 5(B), requires that you submit this report to Congress within 30 days of receipt.
During this reporting period, the OIG issued three audit reports and one evaluation report. We completed three investigations and received 166 investigative inquiries. Highlights of the report include the results of OIG’s evaluation of the continuity of operations (COOP) plans in Agency field offices, as well as significant management challenges confronting the Agency. In our view, the most significant management challenge is the Agency’s inability to meet the core requirements of the President’s Management Agenda in the area of Strategic Management of Human Capital. In order to achieve substantial improvement in this critical area, the Agency will need to focus its leadership talent and other vital resources on improving its efforts to complete a comprehensive human capital plan that is linked to the Agency’s strategic plan and annual performance goals.
On behalf of the OIG, I thank you and the Agency’s employees for their continued cooperation and support of our mission to ensure the integrity, efficiency, and accountability of the Agency’s programs and operations.
Sincerely,
.jpg)
Aletha L. Brown
Inspector General
The Equal Employment Opportunity Commission
The Office of Inspector General
Summary of Significant Management Challenges
The Audit and Evaluation Programs
Completed Projects
Ongoing Audit and Evaluation Projects
Other Audit and Evaluation Activities
Core Values Statement Completed Investigations Ongoing Investigation Activities
Professional Development Activities
OIG Operations and Procedures
Appendix I Final OIG Audit and Evaluation Reports
Appendix II Index of Reporting Requirements
Appendix III Single Audit Act Reports
Appendix IV Investigative Inquiries
.jpg)
This semiannual report is issued by the Equal Employment Opportunity Commission’s (EEOC’s) Office of Inspector General (OIG) pursuant to the Inspector General Act of 1978, as amended. It summarizes the OIG’s activities and accomplishments for the period of October 1, 2007, through March 31, 2008. During this period, the OIG issued three audit reports and one evaluation report; completed three investigations; and received 166 investigative inquiries, of which 99 were charge-processing issues, 43 involved Title VII complaints, and 24 were other investigative allegations.
The OIG’s completed and ongoing audit, evaluation, and investigative projects include the following:
The Equal Employment Opportunity Commission (EEOC) is the Federal agency responsible for enforcement of Title VII of the Civil Rights Act of 1964, as amended; the Equal Pay Act of 1963; the Age Discrimination in Employment Act of 1967 (ADEA); in the Federal sector only, Section 501 of the Rehabilitation Act of 1973; Title I of the Americans with Disabilities Act of 1990 (ADA); and the Civil Rights Act of 1991. These statutes prohibit employment discrimination based on race, sex, color, religion, national origin, age, or disability. EEOC is also responsible for carrying out Executive Order 12067, which promotes coordination and minimizes conflict and duplication among Federal agencies that administer statutes or regulations involving employment discrimination.
EEOC is a bipartisan commission comprised of five presidentially appointed members, including a Chair, a Vice Chair, and three Commissioners. The Chair is responsible for the administration and implementation of policy for the Commission and for the financial management and organizational development of the Commission. The Vice Chair and the Commissioners equally participate in the development and approval of the policies of the Commission, issue charges of discrimination where appropriate, and authorize the filing of lawsuits. Additionally, the President appoints a General Counsel, who provides legal advice and leadership, including coordination and supervision, to EEOC’s litigation program.
The United States Congress established an Office of Inspector General (OIG) at EEOC through the 1988 amendments of the Inspector General Act of 1978, which expanded authority to Federal entities and designated Federal entities to create independent and objective OIGs. Under the direction of the Inspector General (IG), the OIG meets this statutory responsibility by conducting and supervising audits and investigations relating to the programs and operations of the Agency; providing leadership and coordination and recommending policies for activities designed to promote economy, efficiency, and effectiveness in the administration of, and to prevent and detect fraud and abuse in, such programs and operations; and providing a means for keeping the Chair and Congress fully and currently informed about problems and deficiencies relating to the administration of such programs and operations and the necessity for and progress of corrective action.
The OIG is under the supervision of the IG, an independent EEOC official subject to the general supervision of the Chair. The IG must not be prevented or prohibited by the Chair or any other EEOC official from initiating, carrying out, or completing any audit, investigation, evaluation, or other inquiry, or from issuing any report. The IG provides overall direction, coordination, and leadership to the OIG; establishes program priorities, provides final review on all significant matters, and approves the general course of action to be followed by OIG staff; is the principal advisor to the Chair in connection with all audit and investigative matters relating to the prevention, identification, and elimination of waste in any EEOC program or operation and recommends the proper boundaries of audit and investigation jurisdiction between the OIG and other EEOC organizations; develops a separate and independent annual budget for the OIG; and responds directly to inquiries from the public, Congress, or the news media and prepares press releases, statements, and other information about OIG activities.
The Counsel to IG (CIG) is the sole legal advisor in the OIG, providing advice in connection with matters of importance to the OIG. The CIG provides day-to-day supervision and guidance to the OIG’s investigation team and is the primary liaison with Agency legal components and the Department of Justice. The CIG assists the IG and Deputy; coordinates and participates in the development and implementation of OIG policies and procedures; reviews all audit, evaluation, and investigation reports for legal sufficiency; and reviews proposed and revised legislation and regulations and recommends appropriate responses and actions.
The Deputy Inspector General (DIG) serves as the alternate to the IG and participates fully in the policy development and management of the diverse audit, investigative, evaluation, and support operations of the OIG. The DIG also ensures that the Audit, Evaluation, and Investigation Programs (AEIP) address their mission, goals, and objectives in accordance with the Inspector General Act, other laws, Agency policy, and congressional requests. The DIG provides overall direction, program guidance, and supervision to the AEIP. The AEIP staff conducts audits, evaluations, and investigations of EEOC operations and activities and prepares reports for issuance to the Chair, EEOC management, and Congress. Conducting audits, evaluations, and investigations is the primary mission of the OIG.
The following is a summary of issues the IG considers the most serious management challenges the Agency is confronting. These matters require the commitment of significant Agency resources, sound decision making by the Agency’s leadership, and continued oversight by the OIG.
Headquarters Relocation
The lease on the current headquarters building, located at 1801 L Street, Northwest, Washington, D.C., will expire on July 31, 2008. The new headquarters location will be 131 M Street, Northeast, Washington, D.C. Realigning and streamlining headquarters functions and the timeliness and efficiency of moving staff and equipment will impact the productivity, effectiveness, and morale of all headquarters employees.
A critical challenge is to ensure a timely and efficient relocation of the headquarters. According to the Chief Financial Officer, problems in move planning (e.g., finalizing office locations within the new headquarters building) resulted in delaying the move an additional two months—the move is now scheduled for completion in early November 2008. As a result, EEOC has requested a four-month extension on the current lease, but building ownership wants a six-month extension. A six-month extension would result in two months of additional rental payments (December 2008 and January 2009). It is likely that the General Services Administration (GSA) will make the additional rental payments. The total budget for the relocation is $23 million, of which $8 million is included in the 10-year lease payments; the remainder is budgeted over 3 fiscal years.
During the reporting period, management of employee expectations regarding relocation improved. Efforts include providing employees the opportunity to see furnished model offices and select office chairs, and more timely two-way communication of information and events via the NoMA News Blog on the Agency’s intranet.
E-Gov
The EEOC headquarters relocation poses a significant challenge to the Agency’s information technology operations. The challenge is to seamlessly move existing equipment and technology, while incorporating and deploying new technologies and equipment to a new location. A service interruption could affect the Agency’s ability to effectively perform its mission. Therefore, the successful completion of these efforts must include a seamless provision of customer service to its headquarters, field offices, and other stakeholders. The Office of Information Technology (OIT) is in the final stages of identifying and deploying its relocation task team and is developing its final relocation strategy concerning the physical move, deployment, and incorporation of Agency technological assets.
Strategic Management of Human Capital
The Agency continues to be challenged in meeting the core requirements of the President’s Management Agenda in the area of Strategic Management of Human Capital. In our opinion, using the Office of Management and Budget’s (OMB’s) scorecard criteria, the Agency would receive a red light in the Strategic Management of Human Capital portion of the President’s Management Agenda. Specifically, the Agency continues to lack a workforce analysis addressing competency gaps in all mission-critical occupations and also lacks strategies to address closing the identified competency gaps. EEOC’s human capital managers note that the lack of action in these areas is linked to a lack of funding and the need for human resources staff to address other priorities within the Agency.
Also, the Agency continues to lack a comprehensive human capital plan that is linked to the Agency’s strategic plan and annual performance goals. The human capital plan serves as the roadmap for continuous improvement and the framework for transforming the culture and operations of the Agency. Finally, the Agency’s human resources office remains understaffed and lacking the skill sets needed to gain a green light for the Strategic Management of Human Capital initiative.
Financial Management
EEOC was successful in migrating from the Integrated Financial Management System (IFMS) to the Momentum system for accounting and reporting. The Chief Financial Officer is now working to ensure that the Agency implements a data warehousing effort to facilitate more flexible reporting capabilities. EEOC has made an interagency agreement with the Department of the Interior’s National Business Center for data warehousing services. This project is expected to be completed by August 2008. Also, the Agency completed its evaluation of vendor proposals relating to the purchase card program and selected Citibank. All Bank of America purchase cards in effect will be replaced with Citibank purchase cards by November 2008.
EEOC is challenged to continue improving its financial management in order to meet Federal requirements and achieve improved Agency management. The Agency has selected Carlson Wagonlit as its vendor for travel processing. However, due to software issues, Carlson Wagonlit is overhauling its interface with the Momentum system. As a result, the Agency is requesting a one-year waiver from the GSA before the Agencywide implementation of the new travel management system. The Agency proposes to pilot the Carlson Wagonlit interface starting with testing in headquarters and selected field offices.
Budget and Performance Integration
While the Agency has made some progress in this area, as we reported in our previous semiannual report, the most notable deficiency remains the Agency’s inability to update and finalize its strategic plan. For example, in the Agency’s Strategic Plan for Fiscal Years 2004–2009, Long-Term Measure 1 and Long-Term Measure 2 still do not contain specific targets by which Agency managers can gauge annual or longer-term Agency performance in areas determined by the Agency to be mission critical. Accordingly, Agency managers lack vital information and valuable tools necessary to achieve improved performance in these areas. Until the Agency is successful in achieving this objective, determining program and budget priorities will continue to be problematic. In our view, the Agency would receive a red light on the scorecard in this category.
As we stated in previous semiannual reports, the OMB released its Program Assessment Rating Tool (PART) assessment of EEOC. EEOC was rated “Not Performing—Results Not Demonstrated.” As a result, EEOC is listed in the Not Performing Programs section of the OMB PART Web site, thereby placing EEOC in the lowest 22 percent of rated programs. Therefore, EEOC’s challenge is to make the required improvements to raise its rating.
In the last six months, EEOC made moderate progress in implementing the PART improvement plan. For example, EEOC gained approval from the OMB for performance measure baselines, targets, and goals. Senior Agency management officials need to ensure greater progress in implementing the PART improvement plan.
Most Federal agencies using the Department of the Interior’s National Business Center use Quicktime software for cost accounting; however, EEOC employs a manual and less useful system. While EEOC’s cost accounting system lacks sufficient detail to be highly useful, it provides some additional opportunities for enhanced management. For example, data are now extracted that can be used by EEOC field offices to improve budget allocation alignment with major programs.
The Contact Center Function
The Agency faces challenges in completing the transition from an outsourced contact center to EEOC staff performing contact center functions. The success of this effort will profoundly affect customer service, employee morale, and the budget.
The Agency has hired 56 of the 63 staff members who will perform the functions previously performed by contact center staff. In addition, the Agency contracted for an extension of the interactive voice response (IVR) system; this service will continue through January 2009. The Commissioners approved a work statement for long-term technical support of the call answering function. A presolicitation notice has been posted, with a request for proposal scheduled in April 2008, contract award in fiscal 2008, and services to begin in January 2009. The contract will provide for multiple technological services, including the IVR system, customer relationship management software, and automatic call distribution services. Agency management needs to ensure that the contract process is timely, effective, and efficient so that Agency customers can receive uniform, high-quality service.
.jpg)
The Audit and Evaluation Programs supports the OIG’s strategic goal to improve the economy, efficiency, and effectiveness of EEOC programs, operations, and activities.
Evaluation of EEOC Field Office Continuity of Operations
The OIG conducted an evaluation of the continuity of operations (COOP) plans in Agency field offices. We define a COOP event as a weather, geological, or other type of event that keeps employees away from the central office for an extended period of time. Generally, management agreed with the facts in the report and the OIG’s findings, conclusions, and recommendations.
During our evaluation we concluded the following:
We recommended that the following actions be taken:
FY 2007 Audits of the Consolidated EEOC Financial Statements and EEOC’s Training and Technical Assistance Program Revolving Fund
The OIG contracted with Cotton & Company, LLP, to perform the audit of EEOC’s consolidated financial statements. This audit is required by the Accountability of Tax Dollars Act of 2002. The FY 2007 financial statement audit was expanded to include auditing of the FY 2007 financial statements of the EEOC’s Training and Technical Assistance Program Revolving Fund. FY 2007 was the first time a financial statement audit had been performed for the revolving fund. On November 14, 2007, Cotton & Company issued an unqualified opinion on the EEOC’s FY 2007 consolidated financial statements, as well as an unqualified opinion on the balance sheet for EEOC’s Training and Technical Assistance Program Revolving Fund. Since this was a first-year audit, Cotton & Company was limited to providing an opinion only for the revolving fund’s balance sheet in accordance with generally accepted accounting principles.
FY 2007 EEOC Financial Statement Audit Management Letter
Cotton & Company issued its FY 2007 Management Letter report on January 16, 2008. The report identified 11 new matters in FY 2007 (5 financial matters and 6 information technology matters) warranting management’s attention. Among the internal control issues discussed in the report were the following: budgetary posting logic, internal-use software, controls over capital leases, segregation of duties over cash receipts, improper revenue recognition, security program planning, certification and accreditation, whole-disk encryption, access authorization documentation, background investigations, and outsourced system account administration. Management concurred with all recommendations and provided corrective action plans addressing each issue. Also, the status of management’s actions on prior-year recommendations is included as an appendix to the report.
Agency Compliance with the Federal Managers’ Financial Integrity Act
The OIG issued its annual report to the Chair, validating the Agency’s compliance with the Federal Managers’ Financial Integrity Act of 1982 (FMFIA). EEOC Order 195.001, Management Accountability and Controls, requires the OIG to annually provide a written advisory to the Chair on whether the management control evaluation process complied with guidelines from the OMB. To make this determination, the OIG reviewed (1) assurance statements submitted by headquarters and district directors attesting that their systems of management accountability and control were effective and that resources under their control were used in a manner consistent with the Agency’s mission and in compliance with the laws and regulations set out in the FMFIA; (2) all functional area summary tables, and functional area reports submitted by headquarters and field offices; and (3) the Office of Research, Information, and Planning’s (ORIP’s) FY 2007 FMFIA Assurance Statement and Assurance Statement Letter, with supporting documents. The OIG concluded that the Agency’s management control evaluation was conducted in accordance with the relevant standards and concurred with ORIP’s assertion that the Agency had no material weaknesses during the reporting cycle. The OIG concurs with ORIP’s reporting of three instances of financial nonconformance. The Agency corrected one of three financial nonconformances identified in FY 2007. The Agency also implemented corrective action plans to resolve two remaining nonconformances.
FY 2007 Performance Audit of the EEOC Training and Technical Assistance Program Revolving Fund
A draft report was issued to management in November 2007 by OIG contractor Withum, Smith and Brown (WSB, formerly M.D. Oppenheim), which identified three areas where improvements were needed in the EEOC Training and Technical Assistance Program Revolving Fund. Specifically, these included the impact of the lack of a strategic vision for achieving the revolving fund’s mission, the need to develop written policies and procedures to avoid discontinuity of operations, and improving the spending plan preparation process and data integrity. Management provided comments that were evaluated by WSB and included in a final report. The M.D. Oppenheim and WSB merger occurred after the engagement to perform the audit had commenced. The issuance of the final report, by the newly formed WSB, has been delayed pending completion of the novation process required by the General Services Administration (GSA). A decision is expected in the very near future, at which time the report will be issued in final form.
Evaluation of the Agency’s Adherence to the Federal Information Security Management Act
The OIG is conducting an independent evaluation regarding the Agency’s compliance with the Federal Information Security Management Act (FISMA). The evaluation will include an assessment of the implementation of plans, policies, and procedures concerning information security.
Evaluation of the Agency’s Privacy Program
The OIG is conducting a competitively outsourced evaluation of the Agency’s privacy program. The objective of this assessment is to conduct a baseline evaluation of the EEOC’s privacy program and, where appropriate, to recommend strategies and specific steps to improve privacy and data protection management. The evaluation will include a review of all program plans, policies, and activities to ensure that the Agency’s privacy program meets all Federal standards and requirements.
Evaluation of EEOC’s Oversight of Federal EEO Reporting
EEOC’s Management Directive 715 (MD-715) issued on October 1, 2003, requires agencies to take appropriate steps to ensure that all employment decisions are free from discrimination. EEOC’s Office of Federal Operations (OFO) is responsible for the oversight related to MD-715. The evaluation objectives are to:
Project planning was completed in March 2008. The OIG plans to issue a final report in August 2008.
2007 Office of Human Resources Reviews
Review of the Agency’s Strategic Management of Human Capital initiative continues. A draft report will be updated to include progress in addressing succession planning issues. A final report is planned for issuance in the third quarter of FY 2008.
Management Advisory on Agency Compliance with FMFIA
During the OIG’s review of EEOC’s FY 2007 FMFIA process, the OIG observed areas for potential future improvement in the Agency’s administration of the annual process. Accordingly, the OIG is completing a Management Advisory on Agency compliance with the FMFIA, due to be issued during the third quarter of FY 2008.
Review of Single Audit Act Reports
The Single Audit Act of 1984 requires recipients of Federal funds to arrange for audits of their activities. Federal agencies that award these funds must receive annual audit reports to determine whether prompt and appropriate corrective action has been taken in response to audit findings. During the reporting period, the OIG reviewed nine audit reports issued by public accounting firms concerning Fair Employment Practice Agencies (FEPAs) that have work-sharing agreements with EEOC. There were no audit findings for the FEPAs that involved EEOC funds (see Appendix III).
Audit Follow-Up
Section 5(a)(1) of the Inspector General Act of 1978, as amended, requires that semiannual reports include summary descriptions of significant problems, abuses, and deficiencies relating to the Agency’s administration of programs and operations disclosed by the OIG during the reporting period. The following table shows reports issued during this reporting period (October 1, 2007–March 31, 2008) that contained findings:
| Fiscal Year | Report Number | Report Title | Date Issued | Recommendations |
|---|---|---|---|---|
| 2007 | 2007-08-FIN | FY 2006 and 2007 Financial Statement Audit | November 14, 2007 | Yes |
| 2007 | 2007-10-RFF IN | FY 2007 Financial Statement Audit of the EEOC Training and Technical Assistance Program Revolving Fund | November 15, 2007 | Yes |
| 2007 | 2007-09-FIN | FY 2007 Management Letter Report | January 16, 2008 | Yes |
| 2007 | 07-12-AMR | Evaluation of EEOC Field Office Continuity of Operations Program (COOP) | March 27, 2008 | Yes |
As required by Section 5(a)(3) of the Inspector General Act of 1978, as amended, semiannual reports must provide identification of each significant recommendation described in previous semiannual reports on which corrective action has not been completed. The following table shows those activities noted in previous semiannual reports for which corrective actions have not been completed:
| Fiscal Year | Report Number | Report Title | Date Issued | Recommendations |
|---|---|---|---|---|
| 2004 | 03-14-AMR | Evaluation of Performance and Results Reporting | January 30, 2004 | Yes |
| Open Recommendation: | ||||
| Improve performance measure targets. Targets should be achievable, but challenging, and require significant improvement. | ||||
| 2005 | 2005-10-FIN | FY 2005 Financial Statement Audit Final Letter Management Report | January 26, 2006 | Yes |
| Open Recommendations: | ||||
| Chief Financial Officer (CFO) reinforce policies and procedures requiring offices to conduct a complete semiannual physical inventory of accountable property. | ||||
| Implement procedures for terminating access of separated employees and review user access listings for inactivity and separated employees. | ||||
| Office of Human Resources (OHR) and Office of Information and Technology (OIT) perform background investigations for all employees, including those hired before implementation of background investigation policies and procedures. | ||||
| 2006 | 2006-04-FIN | FY 2006 Financial Statement Audit Final Management Letter Report | February 9, 2007 | Yes |
| Open Recommendations: | ||||
| CFO improve quality control procedures for reviewing final versions of financial statements and notes to ensure that the Performance Accountability Report (PAR) is complete, accurate, and consistent. | ||||
| OHR implement policy requiring that time cards containing incorrect or incomplete information be returned to employees for correction before certification in the Federal Pay Personnel System (FPPS). | ||||
| 2006 | 2006-04-FIN | FY 2006 Financial Statement Audit Final Management Letter Report | February 9, 2007 | Yes |
| Open Recommendations Cont’d: | ||||
| Office of the Chief Financial Officer (OCFO) notify the Office of the Chair and Office of Field Programs (OFP) of offices failing to submit property certifications. The Chair and OFP are to provide the certifications, or a written explanation for failure to complete property certification in 30 days, to the CFO. | ||||
| OIT revise policy for password minimum length, expiration/change interval, and account lockout to adhere to industry best practice. | ||||
| OIT develop and implement procedures for reviewing network accounts for inactivity and identifying allowable days before account is disabled or removed. | ||||
| OIT develop full standard configuration for the platforms in use and ensure that they meet recommendations of industry best practices, National Institute of Standards and Technology (NIST), and National Security Agency (NSA). | ||||
| OIT ensure that necessary software patches and security hot fixes are installed on the network in a timely manner and update its baseline configuration document for the network. | ||||
| 2007 | 2007-17-AEP | FY 2007 Federal Information Security Management Act Independent Evaluation | September 24, 2007 | Yes |
| Open Recommendation: | ||||
| Develop a written Security Test and Evaluation Plan that can be used by OIT and system owners to outline the methodology used to conduct security tests and evaluations. |
As required by Section 5(a) (10) of the Inspector General Act of 1978, as amended, semiannual reports must include a summary of each audit report issued before the commencement of the reporting period for which no management decision has been made by the end of the reporting period. The OIG has no audit or evaluation reports that were issued before commencement of the reporting period for which no management decisions have been made.
The Investigation Program supports the OIG’s strategic goal to focus limited investigative resources on issues that represent the greatest risk and offer the maximum opportunity to detect and prevent fraud, waste, and abuse in EEOC programs and operations.
We are a professional investigative team committed to assisting our Agency in ensuring the integrity of the Equal Employment Opportunity Commission’s programs, operations, and personnel. We endeavor to protect Agency resources and prevent fraud by maintaining our core values in accomplishment of the Agency’s mission.
To that end, we consider Initiative, Professionalism, and Objectivity to be the core values of the OIG’s special agents. These values reflect the philosophy and commitment of our team.
| Initiative: | We are motivated to act responsively and energetically in executing our investigative responsibility to the Office of Inspector General and the Agency. |
| Professionalism: | We strive to provide the highest level of investigative proficiency, accountability, and expertise to the Office of Inspector General and the Agency. We strive to exhibit superior performance, knowledge, and skills, and sound ethical judgment. |
| Objectivity: | We strive to maintain a strong sense of truth, impartiality, and independence in conducting investigations and related tasks. Our decisions and findings are free of personal or professional bias. |
Impersonation
The OIG completed an investigation of the alleged impersonation of a multinational distributor by an individual claiming to be associated with EEOC. After conducting the investigation, the OIG determined that a language barrier had caused a misunderstanding between the parties and that no impersonation had occurred.
Inappropriate Use of a Government Credit Card
The OIG conducted a preliminary investigation into a complaint alleging that a field office employee had filed fraudulent travel vouchers and inappropriately used a government credit card. The preliminary investigation disclosed that the management of the office, in consultation with the Office of Human Resources, had commenced administrative action to address the infractions, and the OIG determined that no further investigative action was warranted.
Improper Disclosure
The OIG conducted a preliminary inquiry into allegations that confidential information had been improperly disclosed by the Agency. After reviewing the matter, the OIG determined that the matter should be closed, as there had been no improper disclosure of confidential information by EEOC.
Ongoing Investigation Activities
The OIG has ongoing investigations in several field offices, involving sexual harassment, prohibited personnel practices, ethics violations, conflicts of interest, time and attendance fraud, retaliation, falsification of government records, misuse of government-issued credentials, false statements, perjury, misuse of government property, theft of government property, and misuse of a government credit card.
PCIE/ECIE 2007 Awards Program
The OIG and the Department of Health and Human Services’ OIG co-chaired the 10th Annual President’s Counsel on Integrity and Efficiency (PCIE) and Executive Counsel on Integrity and Efficiency (ECIE) Awards Ceremony. This ceremony recognizes significant accomplishments of individuals and groups within the Federal IG community that demonstrated outstanding achievements, courage, determination, selflessness, and dedication in the performance of OIG duties. The EEOC Deputy IG and the Counsel to the IG received an Award for Excellence in recognition of the revision of the Investigation Program practices and procedures, resulting in improved services to OIG customers.
Response to Congressional Inquiry
The OIG responded to a request from Congressman Henry Waxman to provide a list of open recommendations to EEOC and management made by our office from January 1, 2001, to the present. The OIG provided a listing of audit recommendations along with copies of the pertinent audit reports to Congress (House and Senate) on January 31, 2008. The review disclosed six audit or evaluation reports with OIG recommendations that had not been fully implemented or closed. The six reports were 2007-08-FIN, 2007-10-RFFIN, 03-14-AMR, 2005-10-FIN, 2006-04-FIN, and 2007-17-AEP (see tables on pages 14–16).
OIG special agents served in the following roles:
OIG staff completed training and also participated in the PCIE and ECIE activities, which included the following:
OIG staff retained membership in the following professional organizations:
OIG’s staff auditor developed and delivered a presentation to EEOC’s Office of Federal Operations and OIG staff regarding the Federal Managers’ Financial Integrity Act of 1982 (FMFIA). The presentation shared with employees the importance of the FMFIA and internal controls. Specific areas discussed included the five components of internal controls, segregation of duties, types of deficiencies, and internal control weaknesses at EEOC identified by the OIG. The briefing stressed that all employees have FMFIA and internal control responsibilities.
Audit Manual Update
The OIG is updating its audit manual. The new audit manual will include updated information and references to the revised July 2007 Government Auditing Standards (Yellow Book).
Updates to Office Procedures
An administrative procedures handbook is being developed to provide OIG staff with transparent and consistent procedures. Also, the OIG’s records retention policy has been updated, and the mission and function statement has been revised and is undergoing review.
| Report Title | Date Issued | Questioned Costs | Funds Put to Better Use | Unsupported Costs |
|---|---|---|---|---|
| FY 2007 Audits of the Consolidated EEOC Financial Statements and the EEOC’s Training and Technical Assistance Program Revolving Fund | November 14, 2007 | $0 | $0 | $0 |
| Agency Compliance with the Federal Managers’ Financial Integrity Act (FMFIA) | November 14, 2007 | $0 | $0 | $0 |
| FY 2007 EEOC Financial Statement Audit – Management Letter | January 16, 2008 | $0 | $0 | $0 |
| Evaluation of EEOC Field Office Continuity of Operations Program | March 27, 2008 | $0 | $0 | $0 |
| IG ACT CITE | REPORTING REQUIREMENTS | PAGE |
|---|---|---|
| Section 4(a)(2) | Review of Legislation and Regulations | N/A |
| Section 5(a)(1) | Significant Problems, Abuses, and Deficiencies | 10–12, 19 |
| Section 5(a)(2) | Recommendations with Respect to Significant Problems, Abuses, and Deficiencies | 10–12 |
| Section 5(a)(3) | Significant Recommendations Included in Previous Reports on Which Corrective Action Has Not Been Completed | 14-16 |
| Section 5(a)(4) | Matters Referred to Prosecutive Authorities | N/A |
| Section 5(a)(5) | Summary of Instances Where Information Was Refused | N/A |
| Section 5(a)(6) | List of Audit Reports | 23 |
| Section 5(a)(7) | Summary of Significant Reports | 10–12 |
| Section 5(a)(8) | Questioned and Unsupported Costs | N/A |
| Section 5(a)(9) | Recommendations That Funds Be Put to Better Use | N/A |
| Section 5(a)(10) | Summary of Audit Reports Issued Before the Commencement of the Reporting Period for Which No Management Decision Has Been Made | N/A |
| Section 5(a)(11) | Significant Management Decisions That Were Revised During the Reporting Period | N/A |
| Section 5(a)(12) | Significant Management Decisions with Which the OIG Disagreed | N/A |
| The State of Alaska, FY 2006 | The State of Illinois, FY 2006 |
| The State of California, FY 2006 | The State of North Dakota, FY 2006 |
| The State of Connecticut, FY 2006 | The State of South Dakota, FY 2006 |
| The State of Georgia, FY 2006 | The State of Wyoming, FY 2006 |
| The State of Idaho, FY 2006 |
| Investigative Inquiries Received During the Reporting Period October 1, 2007–March 31, 2008 |
|
|---|---|
| Allegations | Total |
| Charge Processing | 99 |
| Other Statutes | 7 |
| Title VII | 43 |
| Mismanagement | 1 |
| Backgrounds | 3 |
| Theft | 6 |
| Other Criminal Violations | 2 |
| Fraud | 5 |
| TOTALS | 166 |
To report suspected fraud, waste and abuse
.jpg)
CONTACT
THE INSPECTOR GENERAL's HOTLINE
Toll-free 1-800-849-4230
.jpg)
Or Write: OFFICE OF INSPECTOR GENERAL - HOTLINE
P.O. BOX 18212
WASHINGTON, D.C. 20036-8212
Identities of Writers and Callers are always Fully Protected
This page was last modified on June 6, 2008.
