Fiscal Year
2014
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 October 1, 2013, through March 31, 2014.
During this period, the OIG issued five final audit/evaluation reports, completed one investigation, and received 284 hotline inquiries, of which 114 were charge processing issues, 124 were Title VII complaints, and 46 were investigative allegations.
The OIG’s completed, newly initiated, and ongoing audit, evaluation, and investigative projects include the following:
- Harper, Rains, Knight & Company, P.A. (HRK), audited the financial statements of EEOC for fiscal year (FY) 2013 and issued an unmodified opinion on the FY 2013 financial statements. In its Report on Internal Control over Financial Reporting, HRK noted one area involving internal control that was considered to be a significant deficiency. This included the lack of sufficient controls over supporting documentation for personnel expenses.
- In connection with the FY 2013 financial statement audit, HRK issued a management letter that identified several areas where internal controls should be strengthened. The Management Letter Report was issued on January 31, 2014.
- Brown & Company completed the OIG’s independent evaluation of the Agency’s information technology security program and compliance with the Federal Information Security Management Act of 2002 (FISMA) for FY 2013. Brown & Company concluded that the Agency has made positive strides over the last year in addressing information security weaknesses and continues to make progress in becoming fully FISMA compliant. However, the Agency still faces challenges in fully implementing information security requirements.
- The OIG reported to the Office of Management and Budget (OMB) on the Agency’s progress in implementing recommendations relating to the Agency’s charge card program. In accordance with the audit and reporting requirements of the Charge Card Abuse Prevention Act of 2012 (Charge Card Act), the OIG noted that none of the 10 recommendations from the FY 2013 performance audit of the charge card program had been implemented.
- HRK began the FY 2014 financial statement audit of the EEOC. An entrance conference was held on March 6, 2014. This year represents the final option year of the OIG’s contract with HRK, and the OIG is preparing a new request for proposals to obtain bids to conduct the 2015 financial statement audit.
- The OIG carried out a performance audit of the Agency’s personnel security program to ensure that EEOC has implemented personnel security policies and procedures that are in accordance with Office of Personnel Management guidelines and the Code of Federal Regulations.
- Ongoing investigations continue in several field offices involving ethics violations, conflicts of interest, fraud, mismanagement, falsification of government records, and impersonation of a Federal official, misuse of travel and purchase cards, and theft.
Semiannual ReporOctober 1, 2013 - March 30, 2014 <HTML Version>