What is the purpose of the OIG Work Plan??How many OIG offices (not posts) are located in the U.S.?? Where are they located? 3.
1. What is the purpose of the OIG Work Plan? PLEASE provide a comprehensive response to the question to demonstrate that you understand the purpose.
2. How many OIG offices (not posts) are located in the U.S.? Where are they located?
3. How many OIG offices (not posts) are located internationally? Where are they located?
– there is no limit of words or pages.
– I ADDED A PDF TO ANSWER THE QUESTION & this is the website link for the question: https://oig.hhs.gov/reports-and-publications/workplan/index.asp
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WORK PLAN FISCAL YEARS 2020-2021
OIG-ERM-19-03
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Message from the Inspector General I am pleased to present the Office of Inspector General (OIG) 2-year work plan for fiscal years (FYs) 2020–2021. This publication describes the audits, inspections, evaluations, and investigative activities planned in support of OIG’s vision, mission, and strategic goals and objectives. These activities will advance our oversight agenda for the U.S. Department of State (Department) and the U.S. Agency for Global Media (USAGM).
OIG is dedicated to delivering timely, high-quality products and work that promote accountability, efficiency, and effectiveness; working with stakeholders to hold accountable those who engage in fraud,
waste, or abuse; communicating effectively to support informed decision-making and effect positive change; and increasing collaboration to maximize the benefits of OIG’s work.
OIG uses several criteria to identify the activities to focus on each year, including:
• Goals and objectives contained in our strategic plan • Major management challenges facing the Department and USAGM as identified
each fiscal year by OIG • Stakeholder priorities that promote efficiency and effectiveness in the execution of
foreign policy • Results from organizational risk assessments • Congressional mandates • New or changing conditions affecting the programs and operations of the
Department and USAGM • Availability of resources and expertise
This work plan supersedes previously issued work plans and will evolve, as necessary, to ensure that OIG oversight operations remain relevant, timely, and responsive to the priorities of the administration and Congress and the changing demands of our global oversight mission.
We look forward to continuing to work with the Department, USAGM, and the Congress in meeting our goals and fulfilling our mission.
Steve A. Linick Inspector General September 30, 2019
Steve A. Linick
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OUR VISION To be a world-class organization and a catalyst for effective management, accountability, and positive change in the Department, the U.S. Agency for Global Media, and the foreign affairs community.
OUR MISSION To conduct independent audits, inspections, evaluations, and investigations to promote economy and efficiency and to prevent and detect waste, fraud, abuse, and mismanagement in the programs and operations of the Department and the U.S. Agency for Global Media.
OUR VALUES ACCOUNTABILITY We accept responsibility for our work products, services, and performance.
RESPECT We promote diversity in the workplace and treat people with dignity and respect. We expect civility as we conduct our work and in our interactions with each other.
COMMUNICATION We clarify expectations and encourage candor. We communicate with purpose and strive to align our words and our actions and to be aware of the effect we have on others. We look for ways to improve ourselves and our work by expressing appreciation and by giving and accepting constructive feedback.
TEAMWORK We foster a diverse, inclusive, collaborative, and trusting culture where people can share their ideas and opinions. We empower and engage our colleagues to achieve outstanding organizational results.
INTEGRITY We maintain our independence and act with courage, honesty, and professionalism. Our work is fact-based, objective, and supported by sufficient evidence that meets professional standards.
CURIOSITY We are committed to learning about and listening to others’ perspectives, objectives, and challenges. We seek new information to inspire creative and analytical thinking. We foster an environment that fuels innovation and results.
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Contents Message from the Inspector General………………………………………………………………………….. i OIG Strategic Plan Goals and Objectives for FY 2019-2021 …………………………………………… 1 Oversight Responsibilities and Organization ………………………………………………………………. 2 OIG Work Planning Process ………………………………………………………………………………………. 3 Compliance Process …………………………………………………………………………………………………. 3 Office of Audits ……………………………………………………………………………………………………….. 4 Office of Evaluations and Special Projects ………………………………………………………………… 27 Office of Inspections ………………………………………………………………………………………………. 29 Office of Investigations …………………………………………………………………………………………… 32 Office of Overseas Contingency Operations Oversight ………………………………………………….. 34 Appendix A: Abbreviations and Definitions ………………………………………………………………. 36
FYs 2020-2021 WORK PLAN 1
OIG Strategic Plan Goals and Objectives for Fiscal Years 2019-2021
FYs 2020-2021 WORK PLAN 2
Oversight Responsibilities and Organization OIG’s mandate is broad and comprehensive, involving oversight of the full scope of the Department of State (Department) and U.S. Agency for Global Media (USAGM) programs and operations, including more than 75,000 employees and over 270 overseas missions and broadcasting networks, as well as the U.S. Section of the International Boundary and Water Commission (USIBWC). These agencies are funded through combined annual appropriations of approximately $14.4 billion and nearly $8.6 billion in earned revenue from consular fees and other income. OIG also is responsible for full or partial oversight of an additional $18.5 billion in Department-managed foreign assistance. In total, OIG is responsible for overseeing more than $73 billion in Department and USAGM programs and operations. Although based in Washington, DC, OIG operates overseas offices in Afghanistan and Iraq to strengthen its oversight of high-cost, high-risk Department activities in South and Central Asia and the Near East. The Middle East Region Operations (MERO) Directorate within the Office of Audits dedicates on-the-ground resources, expertise, and oversight to critical Department programs and U.S. interests in crisis and post-conflict areas. OIG’s office in Frankfurt, Germany, co-locates audit and investigative staff with the Department’s regional support operations. The Frankfurt office provides oversight of Embassy Baghdad’s relocated Regional Contract Support Office (RCSO), the Regional Procurement Support Office (RPSO), and other regional operations. Investigative staff are co-located with the Department’s Global Financial Services Center in Charleston, SC. In addition, OIG closely collaborates with the Department of Defense (DoD) and U.S. Agency for International Development (USAID) OIGs and with the Special Inspector General for Afghanistan Reconstruction (SIGAR) to ensure that its Middle East resources are used efficiently and effectively. OIG Office Locations
FYs 2020-2021 WORK PLAN 3
OIG Work Planning Process OIG assesses relative risks in the programs for which it has oversight authority. OIG does so to identify areas most in need of attention and, accordingly, to set priorities for the sequence and proportion of resources to be allocated. This work plan identifies the projects, priorities, and initiatives that will support OIG’s ability to achieve its strategic goals and objectives through FY 2021 by:
• Providing independent products and services that promote integrity and positive
change • Engaging stakeholders to conduct effective oversight and addressing Department
and USAGM priorities and challenges • Strengthening OIG’s workforce and internal operations
Work planning is a dynamic process, and adjustments are made throughout the year to meet priorities and to anticipate and respond to emerging issues with the resources available. The projects and plans presented here are contingent upon availability of funds, budget decisions, and priorities and are, therefore, subject to revision.
Compliance Process Implementing recommendations issued by OIG to correct problems and vulnerabilities identified in the course of an audit, inspection, evaluation, or other review is an important consequence of OIG’s oversight activities. After a final report is issued, each entity assigned with corrective action must respond in writing to the formal recommendations in the published report. When Department or USAGM management agrees to implement a recommendation, it is considered resolved. A recommendation is closed once OIG determines that the recommended action has been completed. Benefits of implemented recommendations include improved physical and information security, stronger management controls and accountability, more efficient programs and operations, and monetary benefits from questioned costs and funds that can be put to better use. OIG also carries out compliance follow-up reviews (CFR), which generally are conducted 6 to 24 months following the completion of an audit, inspection, or evaluation. The CFR process reviews the implementation of recommendations in the original report to determine whether all necessary corrective actions were implemented, as reported. Recommendations that have not been implemented are reissued in the CFR report, along with recommendations on additional problems and vulnerabilities identified in the course of the CFR.
FYs 2020-2021 WORK PLAN 4
Office of Audits The Office of Audits (AUD) comprises the Audit Directorate and the MERO Directorate. The Audit Directorate is responsible for conducting audits and program evaluations of the management and financial operations of the Department and USAGM, including their financial statements, information security, internal operations, and external activities funded by the Department or USAGM through contracts or Federal assistance. The MERO Directorate is responsible for performing audits and program evaluations in the Middle East region, as well as in North Africa and South and Central Asia. Many of the projects that AUD performs each year focus on high-risk management challenges within the Department and USAGM. Because of limited resources, AUD generally focuses its work on high-cost programs, key management challenges, and vital operations that will provide Department and USAGM managers with information that will assist them in, for example, making sound operational decisions. In addition to performing discretionary work, AUD uses a significant amount of its resources to fulfill mandatory requirements, such as annual financial statement and information security audits, or to respond to congressional and Department requests. AUDIT DIRECTORATE *Identifies project that State OIG is required to complete by law or U.S. Office of Management and Budget (OMB) guidance
Agency Bureau Project Title and Description Fiscal Year
Contracts, Grants, and Infrastructure Division
Department, USAGM
Single Audit Act (Desk) Reviews*
Subpart F of the Uniform Grant Guidance establishes audit requirements for state and local governments, colleges and universities, and nonprofit organizations receiving Federal awards. Under this guidance, covered entities that expend $750,000 or more a year in Federal funds must obtain an annual, organization-wide “single audit” that includes the entity’s financial statements and compliance with Federal award requirements. OIG is mandated to review selected audit reports for findings and questioned costs related to Department and USAGM awards and to help the Department and USAGM ensure that reports comply with the requirements of the guidance.
2020, 2021
FYs 2020-2021 WORK PLAN 5
Agency Bureau Project Title and Description Fiscal Year
Department, USAGM, USIBWC
Purchase and Travel Card Risk Assessment (Department, USAGM, and USIBWC)*
Risk assessments of credit card programs are mandated under the Government Charge Card Abuse Prevention Act of 2012. The objective of the assessments is to identify and analyze the risk of illegal, improper, or erroneous purchases and payments.
2020, 2021
Department Risk Assessment of the Department of State Grant Closeout Process*
The goal of the Grants Oversight and New Efficiency Act was to ensure Federal agencies identify and close certain expired grants that have not been properly closed out from the Federal financial payment system. Among other things, the act requires that the OIG for agencies with more than $500 million in grant funding conduct a risk assessment of their agencies’ grant closeout process. The objective of this assessment is to identify and analyze the risks related to the Department’s grant closeout processes.
2020
Bureau of Human Resources (HR)
Audit of the Bureau of Human Resources Service Provider Service Level Agreements
HR uses Service Level Agreements (SLA) that describe what services will be delivered at what defined level by the HR Service Providers to HR's Client Bureaus. Services could include strategic consulting; classification and position management; recruitment and staffing; compensation; benefits; performance management; career development/training; and separation. Each party is to enter into the SLA in good faith with a commitment to fulfill respective responsibilities and to ensure delivery of quality services as stipulated. The parties agree to work together to resolve issues to meet and improve service performance. The objective of this audit is to determine whether HR is meeting agreed-upon performance levels included in SLAs and whether Client Bureaus are satisfied with the services provided by HR.
2020
FYs 2020-2021 WORK PLAN 6
Agency Bureau Project Title and Description Fiscal Year
Bureau of Overseas Building Operations (OBO)
Audit of the Bureau of Overseas Buildings Operations' Contract Administration for the Design and Construction of the New Embassy Compound Mexico City
The New Embassy Compound (NEC) in Mexico City is being built as part of a larger overhaul of embassy facilities across the globe spurred by the Secure Embassy Construction and Counterterrorism Act of 1999. The new embassy complex will be built on 8 acres and will cost almost $895 million. The main building will be about 515,000 square feet, making it one of the largest embassies owned by the Department. Construction on the project began in February 2018 and is expected to reach substantial completion in April 2022. The objective of this audit is to determine whether the Department has administered the design and construction contract for NEC Mexico City in accordance with Federal acquisition regulations and whether the contractor has fulfilled the contract terms and conditions.
2020
Department Capping Report – Issues Identified Related to the Department of State Oversight of Contracts and Federal Assistance
The Department uses a significant amount of its budget, approximately $30 billion annually, for contracts and Federal assistance (grants and cooperative agreements). OIG has long viewed the oversight of contracts and Federal assistance as a major management challenge for the Department. OIG has reported that the Department does not consistently and adequately monitor contractor performance or Federal assistance programs. OIG will prepare a report that summarizes prior OIG work and presents information on systemic issues related to the oversight of contracts and Federal assistance. The objective of this project is to present challenges previously identified by OIG in a holistic manner to advance corrective action in a consistent and integrated manner. The capping report will also serve as the baseline for measuring the Department’s progress to execute sound management and oversight practices related to contracts and Federal assistance in support of the Department’s mission.
2020
FYs 2020-2021 WORK PLAN 7
Agency Bureau Project Title and Description Fiscal Year
Bureau of Administration (A)
Audit of the Department of State's Oversight of Selected Grants That Include Cost Sharing
Some grants include elements of cost sharing. Cost sharing or matching refers to the portion of a grant project’s costs that is not borne by the Government. The “cost share” pledge by the award recipient may be either a fixed amount of money or a percentage of the project cost. OIG audits have identified cost sharing as an area of concern. Ensuring that cost sharing mechanisms are properly utilized and monitored reduces risk and increases the probability that programs and grants will achieve their intended results. The objective of this audit is to determine whether selected grantees fulfilled cost sharing requirements included in the grant agreement.
2020
OBO, A Audit of Heritage Assets at Selected Overseas Posts
The Department maintains collections of arts and furnishings, known as heritage assets, that are held for public exhibition, education, and official functions. Items can be donated, loaned, or purchased (using donated or appropriated funds). The Department uses this property to promote national pride and the distinct cultural diversity of American artists, as well as to recognize the historical, architectural, and cultural significance of America’s holdings overseas. Although the Department does not report a value of these assets, one curator said that the value could be $500 million. Many pieces of heritage assets are placed overseas. The Department provides protection and preservation services to maintain all heritage assets. The objective of this audit is to determine whether selected posts protected and preserved heritage assets in accordance with Department requirements and whether the Department administered selected heritage asset programs in accordance with Federal and Department requirements.
2020
FYs 2020-2021 WORK PLAN 8
Agency Bureau Project Title and Description Fiscal Year
OBO Audit of the Bureau of Overseas Buildings Operations' Oversight of the Design of Major Building Systems
When designing a building, the Project Development and Coordination Division within OBO directs and coordinates the development of the scope, schedule, and budget for major projects. Design includes major mechanical and electrical components for the new facility, including water treatment plants. Within OBO, the Mechanical Engineering Division has the responsibility for establishing requirements for mechanical, plumbing, and conveyor systems, as well as environmental security and energy conservation. During previous projects, OIG identified deficiencies with the design of major building systems, which led to unnecessary costs to the Department. The objective of this audit is to determine whether OBO directed and coordinated the design of major systems in accordance with standards.
2020
A Audit of Department of State Oversight of Selected Award Fee Contracts
The Federal Acquisition Regulation states that incentive contracts link a component of the fee payable to the contractor's performance. Award-fee is a type of incentive contract. An award-fee contract is used when predetermined, objective targets are not feasible or effective to devise. According to USASpending.gov, of about 1,200 award-fee type contracts at the Department, 30 are valued at more than $1 million. The objective of this audit is to determine whether the Department administered award-fee contracts in accordance with Federal, Department, and contract requirements.
2020
FYs 2020-2021 WORK PLAN 9
Agency Bureau Project Title and Description Fiscal Year
A Audit of the Department's Oversight of Federal Assistance to For-Profit Organizations
For-profit organizations, both foreign and domestic, are eligible to receive grants and cooperative agreements. In FY 2018, the Department had grants or cooperative agreements with 106 for-profit organizations, totaling more than $108 million, for a wide range of services, including publishing short stories; workshops on photography; travel expenses related to a concert; revitalization of a museum; building the capacity of police; and creating television programs. Domestic for-profit entities that receive grants are not held to the same standards that non-profit entities and foreign for-profit entities must uphold to continue receiving grants. The objective of this audit is to determine whether the Department awarded grants or cooperative agreements to for-profit entities in accordance with requirements and whether Grants Officers and Grants Officer Representatives oversaw these grants or cooperative agreements in accordance with Federal and Department standards.
2021
A, Bureau of Western Hemisphere Affairs (WHA)
Audit of Selected Contracts and Grants Within the Bureau of Western Hemisphere Affairs
OIG has identified the management of contracts and grants as a major management challenge in the Department. This audit—one in a series of audits related to the Department’s administration of contracts and grants—will focus on the administration and oversight of contracts and grants within the WHA. The objective of this audit is to determine whether WHA administered and oversaw selected contracts and grants in accordance with applicable Federal regulations and Department guidance.
2021
FYs 2020-2021 WORK PLAN 10
Agency Bureau Project Title and Description Fiscal Year
Bureau of Consular Affairs (CA), A
Audit of the Contract to Modernize the Technology Services Provided by the Bureau of Consular Affairs
CA, Office of Consular Systems and Technology (CST), provides information technology (IT) resources to support over 300 consular locations, including approximately 230 overseas posts, 29 domestic passport agencies, and 2 visa processing centers. CST awarded a contract to modernize CA's tools and technology in a new initiative called "ConsularOne." The contract was awarded on May 11, 2018, for up to $850 million. The objective of this audit is to determine whether CST administered the "ConsularOne" contract in accordance with Federal regulations and Department policy.
2021
Financial Management Division
Department, USAGM, USIBWC
Audit of Financial Statements (Department, USAGM, and USIBWC)*
This audit is required by the Chief Financial Officers (CFO) Act of 1990, as amended. The CFO Act requires agencies to annually submit to the Director of OMB financial statements covering all accounts and associated activities of the agency. The act also requires OIG to audit the financial statements. The objective of this audit is to determine whether the financial statements and related notes are presented fairly, in all material respects, in conformity with the accounting principles generally accepted in the United States.
2020, 2021
Bureau of the Comptroller and Global Financial Services (CGFS), USAGM
Audit of Compliance with Improper Payment Requirements (Department and USAGM)*
Over the past decade, the Federal Government has implemented safeguards to reduce improper payments. In October 2014, OMB updated guidance for agencies to report on the risk of improper payments by their agency. Since July 2010, OIGs have been required to annually review and report on improper payments reporting. The objective of this audit is to determine whether the agency is in compliance with the Improper Payments Information Act, as amended.
2020, 2021
FYs 2020-2021 WORK PLAN 11
Agency Bureau Project Title and Description Fiscal Year
CGFS, Bureau of Budget and Planning (BP)
Audit of Department of State Use of Appropriated Funds Prior to Expiration and Cancellation*
The Consolidated Appropriations Act of 2019 states that Congress is concerned about the Department’s management of appropriated funds within the period of availability, including the need to improve fund management to avoid expired and canceled funds. The act required OIG to conduct an audit of the Department’s use of appropriated funds prior to expiration and cancellation. The objective of this audit is to determine whether selected bureaus used appropriated funds within the deadlines of the appropriations and whether obligations using expired funds were made in accordance with Federal requirements.
2020
A Audit of Foreign Per Diem Rates Established by the Department of State
The Department establishes foreign per diem rates, which consist of a lodging portion and a meal and incidental expenses portion, for all U.S. Government civilians traveling on official business in foreign areas. The Department spent $97.3 million in FY 2018 in per diem. The objective of this audit is to determine whether the Department established appropriate foreign per diem rates in accordance with Federal regulations and Department policies.
2020
Department, USAGM
Audit of Compliance with the Digital Accountability and Transparency Act (Department and USAGM)*
The Digital Accountability and Transparency Act of 2014 (DATA Act) expands the requirements for Federal agencies to disclose agency expenditures and link contract, loan, and grant spending information to programs of agencies to enable taxpayers and policy makers to track Federal spending more effectively. The law also requires the establishment of government-wide data standards for financial data and consistent, reliable, searchable government-wide spending data that is displayed accurately. The objectives of this audit are to assess the completeness, timeliness, quality, and accuracy of spending data submitted by the agency and to assess the implementation and use by the agency of data standards required by the DATA Act.
2021
FYs 2020-2021 WORK PLAN 12
Agency Bureau Project Title and Description Fiscal Year
Bureau of International Narcotics and Law Enforcement Affairs (INL)
Review of Accounting and Authentication of Drug Control Funds and Related Performance Report for the Office of National Drug Control Policy*
The Office of National Drug Control Policy (ONDCP) was established by the Anti-Drug Abuse Act of 1988. Its principal purpose is to establish policies, priorities, and objectives for the nation’s drug control program. The Director of ONDCP requires agencies to submit annually a detailed accounting of all funds expended by the agencies for National Drug Control Program activities during the previous fiscal year. For example, INL annually obligates more than $500 million in ONDCP funds. In addition, the Director of ONDCP requires that OIG authenticate the information prior to submission. The objective of this audit is to authenticate the Department’s accounting of drug control funds and related performance report, in compliance with ONDCP guidance.
2021
OBO Audit of Maintenance and Improvements of Overseas Real Property
All posts must adequately and properly maintain all facilities abroad. OBO provides posts with maintenance and repair funding based on annual target calculations. According to the FY 2020 OBO Bureau Resource Plan, OBO requested $161 million for Construction, Facility, and Security Management, which includes routine maintenance funding. OBO requested an additional $78.9 million for the Minor Construction and Improvement Program, which funds repairs and upgrades. The amount requested by OBO represents 10 percent of currently identified repairs needed at overseas facilities. OIG reported in Audit of Maintenance and Improvements of Overseas Real Property (AUD/FM-10-30, September 2010) that posts’ maintenance and improvement needs for overseas property were not met and deferred maintenance had not been reported accurately. The objective of this audit is to determine whether OBO administered the maintenance and repair of overseas real property in accordance with Federal and Department requirements.
2021
FYs 2020-2021 WORK PLAN 13
Agency Bureau Project Title and Description Fiscal Year
A Compliance Follow-Up Audit of Select Cost-of-Living Allowances for American Employees Stationed in Foreign Areas
In August 2017, OIG issued a report titled Audit of Select Cost- of-Living Allowances for American Employees Stationed in Foreign Areas (AUD-FM-17-51). OIG reported that the Department did not establish appropriate post allowance rates primarily because the methodology used to calculate post allowance rates was flawed and policies and procedures were insufficient. The objective of this audit is to determine whether the actions taken by the Department to close recommendations have corrected the original deficiencies found in the OIG report and whether the original deficiencies were fully addressed if final action was taken.
2021
A, HR, CGFS Audit of Post Assignment Travel
Post assignment travel (PAT) is crucial for staffing the Department’s …
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