Semiannual Report to the U.S. Congress, October 1, 2020 - March 31, 2021

Fiscal Year
2021
Semiannual option
Oct-Mar
Attachment
Executive Summary

This semiannual report summarizes the OIG's activities and accomplishments for October 1, 2020, through March 31, 2021.
The OIG issued three audit and evaluation reports, one management letter, one written advisory, and one review of compliance.  The OIG resolved 373 investigative inquiries.

The OIG’s completed, ongoing, and planned projects, as well as, ongoing investigations include the 
following:
During the reporting period the OIG issued the following reports:
•    A written advisory to the  Chair validating the  Agency’s compliance with the  Federal Managers’ Financial Integrity Act of 1982 (FMFIA).
•    Audit reports of the EEOC charge card program for FY 2019 and 2020; and for the EEOC’s financial statements for FY 2020.
•    A management letter identifying internal control deficiencies over undelivered orders.
•    A performance audit report on the Federal Information Security Modernization Act of 2014 (FISMA) for FY 2020.
•    On its review of the EEOC’s compliance with Executive Order 13950, “Combating Race and Sex 
Stereotyping.”

Ongoing Audits, Evaluations, and Other Projects
•    The OIG has contracted with the public relations and communications firm Hager Sharp to evaluate the EEOC's social media program.
•    The OIG is evaluating EEOC's management of private sector customer service.
•    The  OIG  has  contracted  with the  public  accounting  firm  Harper,  Rains,  Knight  & Company, P.A. (HRK) to perform the following:
o FY 2021 financial statement audit.
o FY 2021 Digital Accountability and Transparency Act of 2014 performance audit.
o FY  2021  performance   audit  of  the   Agency's   compliance  with  the  Federal Information Security Modernization Act of 2014 for FY 2021
•    The OIG is reviewing the agency’s compliance with the Payment Integrity Information Act of 2019.

Planned Audit and Evaluation
•    The OIG plans to conduct a performance audit of the EEOC’s enterprise risk management practices.
•    The OIG plans to conduct a program evaluation of EEOC's Digital Process Transformation and Automation (DPTA) strategy and activities at EEOC.

Ongoing Investigative Activity
•    An investigation into the alleged ethical violations by an EEOC office director.
•    An investigation regarding an   EEOC  employee allegedly engaging in obtaining information on individuals through Agency information systems.
•    An investigation regarding an allegation of misuse of position by an EEOC employee allegedly working outside of the EEOC without authorization.
•    An investigation into ethical violations and misuse of government position, time, and
resources by an EEOC employee who is allegedly participating in personal activities.
 

U.S. Equal Employment Opportunity Commission’s Compliance with the Payment Integrity Information Act for Fiscal Year 2020

Fiscal Year
2021
Executive Summary

We conducted a review to determine the U.S. Equal Employment Opportunity Commission’s (EEOC) Fiscal Year (FY) 2020 compliance with the Improper Payments Elimination and Recovery Act of 2010 (IPERA) (Public Law 111-204) which amended the Improper Payments Information Act of 2002 (Pub. L. 107-300) (IPIA) and required agencies to identify and review all programs and activities they administer that may be susceptible to significant improper payments based on guidance provided by the Office of Management and Budget (OMB).1 In addition, section 3 of IPERA required Inspectors General to review each agency’s improper payment reporting and issue an annual report.

Attachment

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