U.S. EQUAL EMPLOYMENT OPPORTUNITY COMMISSION FEDERAL INFORMATION SECURITY MODERNIZATION ACT OF 2014 (FISMA)

Fiscal Year
2020
Executive Summary

This report presents the results of our independent performance audit of the U.S. Equal Employment Opportunity Commission’s (EEOC) information security program and practices in accordance with the Federal Information Security Modernization Act of 2014 (FISMA). FISMA requires Federal agencies, including EEOC, to have an annual independent evaluation performed of their information security programs and practices to determine the effectiveness of such programs and practices, and to report the results of the evaluation to the Office of Management and Budget (OMB) and the Department of Homeland Security (DHS). The EEOC Office of Inspector General (OIG) contracted with Harper, Rains, Knight & Company, PA (HRK) to conduct a performance audit of EEOC’s information security program and practices for Fiscal Year (FY) 2020.

U.S. EQUAL EMPLOYMENT OPPORTUNITY COMMISSION CHARGE CARD PROGRAM

Fiscal Year
2020
Executive Summary

Harper, Rains, Knight & Company, P.A.was engaged by the U.S. Equal Employment Opportunity Commission ("EEOC"), Office of Inspector General ("OIG"), to conduct a performance audit of the EEOC charge card program, which includes both purchase and travel cards. EEOC uses purchase cards to reduce the administrative cost of processing small dollar purchases and travel cards to reduce the cost of official travel and for the convenience of the traveler.

The EEOC charge card program had previously been audited in FY 2018, which covered activity in FY 2017 and 2018. The previous audit resulted in two (2) recommendations to improve the management of the charge card program and one (1) finding. We found that while EEOC has made improvements to the account closing process procedures, the procedures have not been properly updated in EEOC directives nor have they been followed in practice.
We found that EEOC has properly designed their internal controls over its charge card program to detect and prevent fraud, waste, abuse and misuse.

Review of EEOC’s Compliance with Executive Order 13950

Fiscal Year
2021
Executive Summary

On September 22, 2020, President Donald J. Trump issued Executive Order 13950 (EO or the Order), “Combating Race and Sex Stereotyping,” which requires federal agencies, federal grantees, federal contractors, and the Uniformed Services to address trainings that include divisive concepts, race or sex stereotyping, and race and sex scapegoating. Section 6(c)(ii) of the Order states that each agency head shall request the agency’s Inspector General to thoroughly review and assess by the end of the calendar year, and not less than annually thereafter, agency compliance with the requirements of this Order, in the form of a report submitted to the Office of Management and Budget (OMB). The Chair of the U. S. Equal Employment Opportunity Commission (EEOC) sent the request to the Inspector General on October 25, 2020. This report presents the findings of the Inspector General’s review.

Evaluation of EEOC's Federal Hearings and Appeals Processes

Evaluate and assess timeline improvement after the use of the new contractors. If significant improvements are verified by data, consider improvements to the ongoing staffing model and the possible addition of these contractor positions as permanent roles

Evaluate and assess timeline improvement after the use of the new contractors. If
significant improvements are verified by data, consider improvements to the ongoing
staffing model and the possible addition of these contractor positions as permanent
roles. OFO should determine and monitor metrics, such as improvement of targeted
timelines from one step to another (data can be gathered from IMS).

Evaluation of EEOC's Federal Hearings and Appeals Processes

OFO and OFP, in partnership with OIT, should consider development of an IMS training guide or document that is consistently updated and reviewed following upgrades, enhancements or modifications of the software. This guide should include all necessary cod

OFO and OFP, in partnership with OIT, should consider development of an IMS
training guide or document that is consistently updated and reviewed following
upgrades, enhancements or modifications of the software. This guide should include all
necessary codes for every action item in the process and should be available for all
product users. This guide should ensure that product users track all mandated steps in
IMS. Given that each office’s staff has their own needs within IMS: One guide should

Evaluation of EEOC's Federal Hearings and Appeals Processes

The Office of Information Technology (OIT), in partnership with OFP and OFO, should re-evaluate IMS requirements, and requirements for the framework of its successor system, to determine what additional reporting functionalities are needed in order to ana

The Office of Information Technology (OIT), in partnership with OFP and OFO, should
re-evaluate IMS requirements, and requirements for the framework of its successor
system, to determine what additional reporting functionalities are needed in order to
analyze data about staff and office productivity. A Voice of the Customer exercise or a
user requirement meeting could serve as starting point to gather current requirements
OFFICE OF INSPECTOR GENERAL SEMIANNUAL REPORT 10

Evaluation of EEOC's Federal Hearings and Appeals Processes

Evaluate availability of resources dedicated to Alternative Dispute Resolution (ADR) per office and determine if the agreement between EEOC and the Federal Mediation and Conciliation Service (FMCS) would provide enough mediation support for the District a

Evaluate availability of resources dedicated to Alternative Dispute Resolution (ADR)
per office and determine if the agreement between EEOC and the Federal Mediation
and Conciliation Service (FMCS) would provide enough mediation support for the
District and Field offices. OFP should also analyze the impact of ADR pilot programs
implemented in certain Districts, such as WISE, the Washington Field Office Initiative
to Settle Equal Employment Opportunity (EEO) Complaints, to determine if these