Fiscal Year
2011
Semiannual option
Oct-Mar
Executive Summary
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, 2010, through March 31, 2011.
During the reporting period the OIG issued three audit products, closed eight investigative matters, and received 525 inquiries, of which 224 were charge-processing issues, 182 were Title VII complaints, and 119 were other investigative allegations.
The OIG’s completed, newly initiated, and ongoing audit, evaluation and investigative projects include:
- The OIG conducted an independent evaluation of the Agency’s information security program pursuant to requirements of the Federal Information Security Management Act (FISMA). The evaluation disclosed that the EEOC had a robust security program and was in substantial compliance with FISMA. However, five areas were identified for improvement: Certification and Accreditation, Configuration Management, Remote Access Management, Identity and Access Management, and the Agency’s Continuous Monitoring program.
- OIG contractor Harper, Rains, Knight & Company, P.A., issued an unqualified opinion of the EEOC’s fiscal year (FY) 2010 financial statements. The Independent auditors Report on internal controls identified significant deficiencies in time and attendance controls and controls over revenue and receivables.
- OIG issued a management letter for the EEOC fiscal year ending 2010. Internal control weaknesses were identified relating to controls over property and equipment, electronic official personnel file management, and Statement on Auditing Standards no. 70 (SAS 70) client control considerations and Information Technology.
- The firm of Harper, Rains, Knight & Company, P.A. commenced an audit of the EEOC’s FY 2011 financial statements.
- The OIG’s first review of the EEOC’s State and Local Programs was completed by independent contractor Williams, Adley & Company, LLP. The purpose of the review was to generally assess the Agency’s performance in managing this program and to establish a baseline for future more comprehensive reviews focused on critical performance metrics and operations of the State and Local Programs. Recommendations were made in key areas of performance goals and objectives, oversight of case quality, payment eligibility and amounts, and the voucher payment process.
- In accordance with Agency policy directive EEOC Order 195.001 Management Accountability and Controls, the OIG issued its annual report to the Chair on November 13, 2010, validating the Agency’s compliance with the Federal Managers Financial and Integrity Act. No material weaknesses were identified.
- The OIG initiated a review of the EEOC’s Open Government activities, and will issue a draft and a final report during the third quarter of FY 2011.
- The OIG completed investigations involving an array of allegations including fraud, loss of Personally Identifiable Information (PII), and prohibited personnel practices.
- There are ongoing investigations in several field offices involving prohibited personnel practices, ethics violations, conflicts of interest, time and attendance fraud, mismanagement, falsification of government records, misuse of government vehicles, impersonation of a Federal official, theft of government property, threats against the Agency, forgery, and misuse of a government credit card.
Semiannual Report October 10, 2010 - March 30, 2011 <HTML Version Click Here>