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
1
WORK PLAN
FISCAL YEARS 2020-
2021
OIG-ERM-19-03
i
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
ii
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.
iii
Contents
Message from the Inspector General………………………………………………………………………….. i
OIG Strategic Plan Goals and Objectives for FY 2019-2021 …………………………………………… 1
………………………………………………………………. 2
………………………………………………………………………………………. 3
…………………………………………………………………………………………………. 3
……………………………………………………………………………………………………….. 4
………………………………………………………………… 27
………………………………………………………………………………………………. 29
…………………………………………………………………………………………… 32
………………………………………………….. 34
………………………………………………………………. 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 overseas missions with trained personnel and
ensuring effective management of human resources. PAT
supports the permanent change of station requirements for
Foreign Service and Civil Service personnel, ensuring timely
deployment of personnel, families, and personal effects. The
costs can include travel, shipment, and storage costs and
training per diem and accommodation. In FY 2018, the
Department received approximately $343 million for this
activity. The objective of this audit is to determine whether
the Department is paying for travel costs in compliance with
PAT policies and whether the Department is administering the
PAT program in accordance with applicable regulations and
requirements.
2021
FYs 2020-2021 WORK PLAN 14
Agency Bureau Project Title and Description Fiscal Year
Information Technology Division
Bureau of
Diplomatic
Security (DS),
Bureau of
Information
Resource
Management
(IRM), Bureau of
Intelligence and
Research (INR)
Audit of the Information Security Program for Sensitive
Compartmented Information Systems at the Department of
State*
The E-Government Act of 2002, as amended by the Federal
Information Security Modernization Act of 2014 (FISMA),
requires OIG to conduct an annual evaluation of its agencies’
information security programs. This audit will focus specifically
on the Sensitive Compartmented Information (SCI) systems.
The objective of this audit is to evaluate the effectiveness of
security controls and techniques for SCI systems and
compliance with Department policies; intelligence community
directives of the Director of National Intelligence; and FISMA
and related information security policies, procedures,
standards, and guidelines.
2020,
2021
Department,
USAGM,
USIBWC
Audit of the Information Security Program (Department,
USAGM, and USIBWC)*
The E-Government Act of 2002, as amended by FISMA,
requires OIG to conduct an annual evaluation of its agencies’
information security programs. This audit will focus on the
agencies’ information security programs. The objective of this
audit is to evaluate the effectiveness of security controls and
techniques for selected information systems and compliance
with FISMA and related information security policies,
procedures, standards, and guidelines.
2020,
2021
FYs 2020-2021 WORK PLAN 15
Agency Bureau Project Title and Description Fiscal Year
IRM Audit of the Department of State IT Supply Chain
A supply chain is the process that moves a product or service
from a vendor to a customer. Counterfeit IT and
communications products represent an increasing threat.
According to industry estimates, 1 in 10 such products sold are
counterfeit, equating to approximately $100 billion in
counterfeit IT products. Other supply chain risks include
tampering, theft, insertion of malicious software and
hardware, and poor manufacturing. According to an industry
report, cyberattackers have started to shift attack patterns to
exploit supply chain environments to gain entry to target
systems. The Federal Government has increased its attention
on this topic. The Department’s Chief Information Officer is
responsible for protecting against supply chain threats to IT
systems, system components, and system services. The
objective of the audit is to determine whether the Bureau of
Information Resource Management has developed and
implemented an IT supply chain risk management strategy
that complies with Federal and Department requirements.
2020
IRM Compliance Follow-Up Audit of the Department of State’s
Implementation of a Process to Select and Approve IT
Investments
In March 2016, OIG issued a report titled Audit of the
Department of State Process to Select and Approve
Information Technology Investments (AUD-FM-16-31). OIG
reported that the Department generally did not select IT
investments in accordance with OMB requirements and the
Department did not always report to OMB accurate and
complete information on its IT investments. Because of these
issues, OIG stated that stakeholders lack visibility into the
Department’s IT portfolio, the Department made duplicative
IT investments, and the Department was not well-positioned
to implement new IT mandates. 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.
2020
FYs 2020-2021 WORK PLAN 16
Agency Bureau Project Title and Description Fiscal Year
CA Audit of IT Security Controls for the Passport Information and
Electronic Records System
The Passport Information and Electronic Records System
(PIERS) is a CA system housed on the Department’s network.
PIERS is a suite of web and desktop applications that is used to
manage passport records. These records include personally
identifiable information, making the system a potential target
for malicious actors, both internal and external. During a prior
audit, OIG found control weaknesses—including a general lack
of policies, procedures, guidance, and training—relating to the
prevention and detection of unauthorized access to passport
and applicant information and the subsequent response and
disciplinary processes when a potential unauthorized access is
substantiated. The objective of this audit is to determine
whether the IT security controls that were designed and
implemented for PIERS meet Federal and Department
standards and are working as intended.
2021
IRM, DS, Office
of Management
Policy,
Rightsizing and
Innovation
(M/PRI)
Audit of the Department of State’s Implementation of Cloud
Computing
The Department is taking steps to move its systems to the
cloud. Cloud computing is a model for enabling convenient,
on-demand network access to a shared pool of configurable
computing resources that can be rapidly provisioned and
released with minimal management effort or service provider
interaction. Using cloud-based systems presents unique risks,
such as set-up, loss of control over the data, security, and
access issues, that need to be properly managed. These risks
can be mitigated by taking precautionary and proactive steps,
such as negotiating contractual provisions, to protect the data,
interests, and resources of the Department. The objective of
this audit is to determine whether the Department’s efforts to
adopt cloud-computing technologies and cloud service
providers comply with Department policies and Federal
standards.
2021
FYs 2020-2021 WORK PLAN 17
Agency Bureau Project Title and Description Fiscal Year
Security and Intelligence Division
DS, Regional
Bureaus
Audit of Department of State’s Implementation of the Post
Security Program Reviews
DS manages the oversight of regional security offices at all U.S.
missions through the Post Security Program Review (PSPR)
process. The purpose of the PSPR is to ensure posts manage
life safety, emergency preparedness, and information security
programs with full mission support and participation,
adequate personnel, sufficient resources, and appropriate
management controls. The DS High Threat Program
Directorate conducts a PSPR annually for all high-threat, high-
risk posts and every 3 years for all other posts. The objective
of this audit is to determine whether DS manages the PSPR
process in accordance with Department policies and
guidelines.
2020
DS
Audit of the Bureau of Diplomatic Security’s Controls Over
Special Protective Equipment
DS is responsible for providing a safe and secure environment
for the conduct of U.S. foreign policy, both domestically and
overseas. DS special agents and Regional Security Officers
carry and utilize Special Protective Equipment, such as
firearms and body armor, in the performance of their law
enforcement duties. The Foreign Affairs Manual specifies
requirements for the receipt, management, and disposal of all
Government property, including firearms and other SPE. In
April 2011, OIG issued a report titled Audit of Department of
State Controls Over Bureau of Diplomatic Security Firearms
and Optics (AUD/SI-11-25). In this report, OIG stated that not
all DS divisions track and account for their SPE in a consistent
and consolidated manner to safeguard and control these
materials. The objectives of this audit are to determine
whether DS is adhering to Department policies relative to the
proper accountability for, maintenance of, and control over
SPE and to determine whether the actions taken by the
Department to close recommendations from OIG’s 2011
report have corrected the original deficiencies.
2020
FYs 2020-2021 WORK PLAN 18
Agency Bureau Project Title and Description Fiscal Year
INL, A Audit of Grants Awarded to the National Center for State
Courts by the Bureau of International Narcotics and Law
Enforcement Affairs
INL supports criminal justice programs worldwide. Since 2010,
INL has awarded the National Center for State Courts (NCSC)
approximately $225 million in grants for projects in the
Western Hemisphere. These grants have been for projects
promoting police training, counter-narcotics, and rule of law.
Recent OIG projects have identified concerns with these
grants. The objective of this audit is to determine whether INL
administered and oversaw grants to NCSC in accordance with
Federal and Department requirements and whether NCSC
fulfilled program goals included in the grant agreements and
accurately reported programmatic performance as required.
2020
INL, Bureau of
Counterterrorism
and Countering
Violent
Extremism (CT),
Office of U.S.
Foreign
Assistance
Resources (F)
Audit of the Department’s Progress to Nationalize Programs in
Selected Countries
The Department, through specific bureaus and offices such as
the Office of U.S. Foreign Assistance Resources (F), CT, and
INL, provides foreign assistance to other countries for specific
programs such as aviation, human rights, and security. The
goals of each program vary, but generally programs are
designed to enable the partner nation to build capacity to
operate and maintain the program so that it is sustainable.
OIG audits have identified instances where a program was
transferred to a host nation and the host nation was unable to
sustain the program. The objective of this audit is to
determine whether the Department developed, implemented,
and evaluated plans, performance indicators, and metrics to
nationalize selected foreign assistance programs.
2021
A, DS Audit of the Department of State Domestic Guard Services
Contract
The Department has a requirement for uniformed domestic
guard services to protect domestic properties. Since 2017, the
Department has entered into four contracts with one
company for domestic guard services, totaling approximately
$500 million. DS’s Domestic Facilities Protection Office is
responsible for administering the guard contracts. The
objective of this audit is to determine whether DS
administered the domestic guard services contracts in
accordance with applicable Federal and Department
requirements and conditions of the contract.
2021
FYs 2020-2021 WORK PLAN 19
Agency Bureau Project Title and Description Fiscal Year
INR, DS Audit of the Department of State Administration of Special
Access Programs
Special Access Programs (SAP) are designed to protect
national security by employing enhanced security measures to
strictly enforce the concept of need-to-know. SAPs may be
created or continued under specific circumstances showing
that the vulnerability of, or threat to, specific information is
exceptional and the normal criteria for determining eligibility
for access are not sufficient to protect the information from
unauthorized disclosure. Access to data included in an SAP
must be limited to a minimum number of staff. The objective
of this audit is to determine whether the Department
administered SAPs in accordance with Department standards.
2021
DS, Regional
Bureaus
Compliance Follow-up Audit of Residential Security at Selected
Overseas Posts
In November 2015, OIG issued a report titled Audit of
Residential Security at Selected Overseas Posts (AUD-CGI-16-
18). OIG identified deficiencies with residential security at
posts included in the audit and identified opportunities for the
Department to improve security. As of July 2019, four
recommendations were resolved but open and one
recommendation was closed. 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
FYs 2020-2021 WORK PLAN 20
MIDDLE EAST REGION OPERATIONS DIRECTORATE
Agency Bureau Project Title and Description Fiscal Year
Embassy
Baghdad,
Embassy
Kabul, Bureau
of South
Central Asian
Affairs (SCA),
Bureau of Near
Eastern Affairs
(NEA), M/PRI,
DS
Audit of Rightsizing of U.S. Embassies Kabul and Baghdad
The U.S. Missions to Afghanistan and Iraq have undergone
significant reconfiguration in recent years. In November
2018, the Department decided to decrease the U.S.
footprint in Afghanistan because of the Administration’s
shifting priorities; Embassy Kabul subsequently submitted a
proposal to reduce embassy personnel by 50 percent.
Similarly, in February 2019, the Department directed U.S.
Embassy Baghdad to reduce its staffing profile by 30
percent. OIG issued the Audit of U.S. Mission Iraq Staffing
Process (AUD-MERO-13-33) in 2013 that found that the
Department did not fully consider U.S. priorities in Iraq as
set forth in rightsizing frameworks developed by M/PRI and
the Government Accountability Office. OIG also issued the
Audit of the Department’s Implementation of Vital Presence
Validation Process (AUD-SI-15-37) in 2015 that found that
the Department periodically reviewed the balance between
acceptable risk and expected outcomes in high-threat high-
risk posts, but that the analysis did not explicitly address the
attainability of the posts’ missions or goals. The objective of
the audit is to determine whether the Department used
established procedures, guidance, and best practices when
undertaking its rightsizing approach and whether the
approach takes into consideration the alignment of
resources invested at these missions with U.S. priorities.
2020
CA, Embassy
Baghdad,
Embassy Kabul
Audit of the Special Immigrant Visa Program for Iraq and
Afghanistan
The Department’s authority to issue Special Immigrant Visas
(SIV) to Afghan nationals falls under Section 602(b) of the
Afghan Allies Protection Act of 2009, as amended. The act
authorizes the issuances of SIVs to Afghan nationals who
worked on behalf of the U.S. Government in Afghanistan or
the International Security Assistance Force. The
Consolidated Appropriations Act for FY 2019 authorized
4,000 additional visas for Afghan principal applicants. The
act also created additional reporting requirements. Similarly,
Section 1244 of the National Defense Authorization Act for
Fiscal Year 2008 authorized the issuance of up to 5,000 SIVs
annually through FY 2013 to Iraqi nationals who were
employed by, or on behalf of, the U.S. government in Iraq
and who meet certain requirements. The Department’s
2020
FYs 2020-2021 WORK PLAN 21
Agency Bureau Project Title and Description Fiscal Year
authority to issue SIVs to Iraqi nationals under the National
Defense Authorization Act of 2008 was subsequently
extended. The objective of the audit is to determine
whether the Department is administering the SIV program in
accordance with Federal law.
OBO,
Consulate
Erbil, Embassy
Baghdad
Audit of the Bureau of Overseas Building Operations’
Construction of the New Consulate General in Erbil, Iraq
In September 2013, the Department and the head of the
Department of Foreign Relations for the Kurdistan Regional
Government signed an agreement allocating land for the
construction of a new consulate general building and
compound in Erbil. In March 2014, the Department issued a
pre-solicitation notice for the design and construction of
offices, housing, and support facilities. In June 2018, it
awarded the contract, valued at $422.5 million, to B.L.
Harbert International. The objectives of the audit are to
determine 1) whether the Department administered the
design and construction contract in accordance with Federal
Acquisition Regulation and 2) whether B.L. Harbert fulfilled
the contract terms and conditions.
2020
U.S. Mission to
Somalia,
Selected
Bureaus
Audit of Grants and Cooperative Agreements in Support of
Somalia
In FY 2017, the U.S. Mission to Somalia oversaw $464 million
in foreign assistance disbursed through grants and
cooperative agreements to non-profit organizations. A
Grants Officer recently reported major concerns with
recipients who are also for-profit companies (or subsidiaries
of for-profit companies). Somalia ranked last of 180
countries in Transparency International’s 2018 Corruption
Perceptions Index; accordingly, the risk of waste, fraud, and
mismanagement of funds is high. The objectives of the audit
are to determine the extent to which foreign assistance
provided to Somalia is being spent in accordance with
regulations and meeting U.S. goals and objectives.
2020
A, NEA,
Embassy
Baghdad
Review of Personal Property Accountability Audit of U.S.
Mission Iraq
Embassy Baghdad manages approximately $300 million in
government-owned personal property. In addition, the
September 2018 suspension of operations at Consulate
General Basrah resulted in the transference of
approximately 90 percent of the Consulate’s personal
2020
FYs 2020-2021 WORK PLAN 22
Agency Bureau Project Title and Description Fiscal Year
property to Embassy Baghdad. In 2014, OIG reported on
systemic weaknesses with managing personal property in
Iraq. The objective of the audit is to determine whether the
Department accounted for and maintained personal
property in Baghdad and transferred personal property from
Consulate General Basrah to Embassy Baghdad in
accordance with Federal requirements and Department
regulations.
Embassy
Kabul, SCA
Audit of Food Services Under the Afghanistan Life Support
Services Contract
In 2014, the Bureau of Administration awarded a contract
(SAQMMA14D0151) to DynCorp International LLC and
another (SAQMMA14D0152) to Global Development
Support Services LLC (GDSS) to provide life support services
for U.S Mission Afghanistan. The contracts had a combined
value of more than $1 billion to be executed over a 5-year
period. Multiple task orders were issued under these
contracts, including food operations. In 2018, OIG
conducted an audit of food cost controls for Embassy
Baghdad, Iraq, and found that such controls were not
implemented. The objectives of the audit are to determine
whether the Department is administering the food services
task order under the Afghanistan Life Support Services
contract in accordance with the Federal Acquisition
Regulation, and whether DynCorp and GDSS are complying
with contract terms and conditions.
2020
NEA, Office of
Acquisition
Management
(AQM),
Embassy
Baghdad
Compliance Follow-up Review of the Bureau of Near Eastern
Affairs Selection and Management of Contract Oversight
Personnel in Iraq
In the Audit of the Selection and Management of CORs in
Iraq (AUD-MERO-19-10), OIG reported that NEA did not
consistently nominate Contracting Officer’s Representatives
(COR) and Government Task Monitors with the required
certification level and technical expertise to oversee
contracts in Iraq. Currently, several contracts in Iraq are
“bridged” as the Department awaits awards of the $8 billion
Diplomatic Platform Support Services contract and the $234
million follow-on Medical Support Services contract.
Without qualified and FAC-COR Level III certified CORs in
position to oversee these contracts through a critical
transition period, the Department not only risks failed
contract transitions, but also continues to risk
2021
FYs 2020-2021 WORK PLAN 23
Agency Bureau Project Title and Description Fiscal Year
comprehensive oversight of billions in taxpayer funds. The
objective of the audit is to determine whether the
recommendations from AUD-MERO-19-10 are being
efficiently and effectively implemented.
Secretary’s
Office of
Global
Women’s
Issues (S/GWI),
Selected
Bureaus and
Embassies
Audit of the Office of Global Women’s Issues’
Implementation of the National Action Plan on Women,
Peace, and Security
The Women, Peace, and Security Act of 2017 was enacted to
build upon work begun with the 2011 U.S. National Action
Plan on Women, Peace, and Security. The U.S. Strategy on
Women, Peace, and Security provides a policy framework
that requires the United States to prioritize the needs and
perspectives of women in conflict prevention, resolution
and reconstruction, to protect them during conflict itself,
and to support them as decision-makers and agents of
change throughout. For FY 2020, the Department requested
$388.5 million for programs associated with the
implementation of the effort. Within the Department,
S/GWI leads the oversight and coordination of the Strategy
and implementation plan. The objectives of this audit are to
determine whether S/GWI has 1) tailored applicable
Department engagements and programs to help women be
more prepared for, and able to participate in, decision-
making processes related to conflict and crisis; 2)
established metrics and targets to evaluate, measure, and
report Department performance; and 3) created a process
to modify or redirect program resources on the basis of
performance that informs resource allocation and planning.
2020
AQM, OBO,
Embassy
Nairobi,
Embassy
Amman
Audit of the Bureau of Overseas Building Operations’
Construction of the New U.S. Embassy Annex in Nairobi,
Kenya, and Amman, Jordan
OBO is constructing a new office annex (NOX) at Embassy
Nairobi, Kenya, valued at $153 million that is expected to be
completed in September 2021. OBO recently completed
construction for a NOX at Embassy Amman, Jordan, valued
at approximately $163 million. According to OBO officials,
the NOX at Embassy Amman was successfully completed
ahead of schedule and under budget. The objectives of this
audit are to (1) determine whether OBO has developed a
process to capture, disseminate, and replicate lessons
learned and best practices identified to other OBO
construction projects; (2) identify lessons learned and best
2020
FYs 2020-2021 WORK PLAN 24
Agency Bureau Project Title and Description Fiscal Year
practices from the Embassy Amman NOX project that
contributed to it being completed ahead of schedule and
under budget; and (3) compare and contrast the Embassy
Amman NOX project with the Embassy Nairobi NOX project
to determine whether lessons learned and best practices
from Embassy Amman were applied and the extent to which
similar results in terms of construction timeliness and
staying within budget were achieved.
Office of
Procurement
Executive
(OPE),
Selected
Bureaus and
Posts
Audit of Department of State’s Risk Assessments and
Monitoring of Awards to International Organizations
Currently, there is no Government-wide guidance for
awarding Federal funds to international organizations.
Department guidance allows Grants Officers to determine
whether performance or financial reporting by the
international organizations is required. While the guidance
states that monitoring of voluntary contributions is
mandatory, it also states that the extent and type of
monitoring will depend on the team’s “assessment of risks.”
The Department obligated $14.6 billion to IOs in FYs 2016
and 2017. The objectives of the audit are 1) determine
whether the Department’s efforts to identify, assess, and
manage risks before awarding funds to international
organizations are effective; and 2) assess whether the
Department’s policies, processes, and guidance for
monitoring awards to international organizations are
effective in ensuring that funds are managed and spent to
further U.S. goals and objectives.
2020
Selected Posts
in Bureau of
African Affairs
(AF), Bureau of
European and
Eurasian
Affairs (EUR),
NEA
Audit of Remote Mission Operations in Contingency
Environments
For security reasons, the Department operates a number of
embassies and consulates outside the borders of the nation.
For example, Mission Somalia operates remotely from
Kenya, with the Department providing $275 million in
foreign assistance to Somalia in FY 2017. Other examples
include Mission Libya operating from Tunisia and programs
for the stabilization of Syria from Turkey, Jordan, and
Kuwait. The objectives of the audit are to determine the
extent to which the Department 1) oversees its mission in
locations where it does not have a permanent presence, 2)
has policies and procedures in place for operating remotely,
and 3) has assessed best practices that could be applied to
2020
FYs 2020-2021 WORK PLAN 25
Agency Bureau Project Title and Description Fiscal Year
other missions to reduce the number of personnel in-
country and reduce the U.S. Government’s footprint.
DS, CT, Bureau
of East Asian
and Pacific
Affairs (EAP),
Embassy
Manila,
Embassy
Bangkok,
Embassy
Jakarta
Compliance Follow-Up Audit on the Department’s Efforts to
Measure, Evaluate, and Sustain Antiterrorism Assistance
Program Objectives in Southeast Asia
The Department’s Antiterrorism Assistance (ATA) program
trains civilian security and law enforcement personnel in
counterterrorism techniques that enable them to deal more
effectively with security challenges within their borders;
defend against threats to national and regional stability; and
deter terrorist operations across borders and regions. DS’s
Office of Anti-terrorism Assistance and CT manage the
program jointly. The objectives of the audit are to determine
whether DS and CT 1) have developed specific, measurable,
and outcome-oriented objectives for the ATA program; 2)
are effectively monitoring and evaluating ATA program
participants’ progress toward attaining program goals; and
3) have established program sustainment goals.
2020
OBO, Embassy
Ankara, EUR
Audit of New Embassy Compound Construction – Ankara,
Turkey
In December 2016, AQM awarded a $218 million contract to
B.L. Harbert International to construct a new embassy
compound (NEC) in Ankara (modifications could increase the
cost of the construction). Construction of the NEC Ankara
commenced in 2017 and is expected to be completed in
2020. The objective of this audit is to determine whether
the Department administered the design and construction
contract for NEC Ankara in accordance with Federal
acquisition regulations and whether the contractor fulfilled
the contract terms and conditions.
2021
AQM Audit of Use of Sole Source Contracts in Overseas
Contingency Operations
In the last 3 fiscal years, the Department has used over $1
billion in sole source contracts in Iraq and Afghanistan. The
Commission on Wartime Contracting reported that agencies
have failed to set and meet goals for competition in Iraq and
Afghanistan. In particular, agencies have awarded task
orders for excessive durations without adequate
competition, failed to set and meet goals for competition,
and have repeatedly awarded long-term task orders that
were not recompeted when competitive conditions
2021
FYs 2020-2021 WORK PLAN 26
Agency Bureau Project Title and Description Fiscal Year
improved and used cost-reimbursable contract types even
though simpler, fixed-price contracts could expand the
competitive pool. The objectives of the audit are to
determine whether (1) acquisition policy was followed in
awarding sole source contracts, (2) there were urgent and
compelling needs to justify awarding sole source contracts,
and (3) the Department is paying more by having sole
source contracts than it would pay if contracts were
competitively awarded.
FYs 2020-2021 WORK PLAN 27
Office of Evaluations and Special Projects
The Office of Evaluations and Special Projects (ESP) conducts independent and objective
analyses of Department and USAGM programs and operations. These management and
programmatic evaluations are intended to provide insight into issues of concern to the
Department, Congress, and the American public. ESP blends the skills of attorneys,
investigators, and analysts to:
• Analyze patterns and practices that contribute to waste and abuse of tax dollars
and other funds and resources under the control of the Department and USAGM
• Fulfill OIG’s statutory duties under Federal whistleblower laws
• Author management alerts
• Develop capping reports with a focus on thematic and systemic issues
• Conduct special reviews
ESP’s portfolio includes work that is reactive in nature, which requires its operations to be
responsive to swiftly changing Department and USAGM priorities and time-sensitive
congressional requests.
WHISTLEBLOWER PROTECTION
ESP also manages OIG’s Whistleblower Protection Program to provide assurance that
Department and USAGM employees, contractors, subcontractors, and grantees are
protected from reprisal for reporting what they reasonably believe to be evidence of
wrongdoing. OIG also is required to investigate whistleblower retaliation allegations by
employees of Department contractors, grantees, subcontractors, subgrantees and
personal services contractors.
The Whistleblower Protection Enhancement Act of 2012 requires Inspectors General to
designate a whistleblower protection coordinator (WPC), who supports OIG in its
mandate to receive and investigate complaints or information from employees
concerning possible violations of law, rules, or regulations, or mismanagement, gross
waste of funds, abuse of authority or a substantial and specific danger to the public health
and safety.
Responsibilities of the WPC include:
• Educating Department and USAGM employees and managers about prohibitions on
retaliation for protected disclosures and educating employees who have made or
are contemplating making a protected disclosure about their rights and remedies
against retaliation for protected disclosures.
• Ensuring that OIG promptly and thoroughly reviews complaints that it receives and
that it responds to whistleblowers in a timely fashion.
FYs 2020-2021 WORK PLAN 28
• Coordinating with the U.S. Office of Special Counsel, other agencies, and
nongovernmental organizations on matters related to whistleblower protection.
The WPC cannot act as a legal representative, agent, or advocate for any individual
whistleblower. Employees who are concerned about or believe they may have been subject
to reprisal may contact the WPC at: WPEAOmbuds@stateoig.gov.
EVALUATIONS AND SPECIAL PROJECTS
Agency/Bureau Project Title Fiscal year
Department Evaluation of the Department of State Authorities Act
Implementation
In 2016, Congress enacted the Department of State Authorities
Act, which requires each Department head to report to OIG
within 5 business days any allegations of: (1) waste, fraud, or
abuse in a Department program or operation; (2) criminal or
serious misconduct on the part of a senior employee; (3)
criminal misconduct on the part of any employee; and (4)
serious, noncriminal misconduct on the part of any law
enforcement officer. The objective of this evaluation will be to
review the Department’s compliance with this provision and
will examine whether the Department is reporting all the
required allegations and whether they are doing so in a timely
fashion. OIG will also evaluate whether the Department’s
guidance on this requirement is clear and whether the
Department has sufficiently notified Department heads of their
responsibilities.
2020
DS, HR Compliance Follow-Up Review of Department of State Security
Clearance Process
In July 2017, OIG issued ESP-17-02, Evaluation of the
Department of State’s Security Clearance Process. The
objectives of this follow-up review will be to determine
whether the actions taken by the Department to close
recommendations in the original report have improved the
timeliness of the clearance process and whether actions taken
to address the recommendations that remain open are
sufficient to close those recommendations.
2020
mailto:WPEAOmbuds@stateoig.gov
FYs 2020-2021 WORK PLAN 29
Office of Inspections
The Office of Inspections (ISP) is comprised of multidisciplinary teams responsible for
carrying out OIG’s mandate to inspect overseas missions and domestic entities of the
Department and USAGM. Inspections are conducted to provide the Department and
USAGM with independent assessments that cover three broad areas, consistent with
Section 209 of the Foreign Service Act of 1980:
• Policy Implementation: whether policy goals and objectives are being
effectively achieved, whether U.S. interests are being accurately and
effectively represented, and whether all elements of an office or mission are
being adequately coordinated.
• Resource Management: whether resources are being used and managed with
maximum efficiency, effectiveness, and economy and whether financial
transactions and accounts are properly conducted, maintained, and reported.
• Management Controls: whether the administration of activities and operations
meets the requirements of applicable laws and regulations; whether internal
management controls have been instituted to ensure quality of performance
and reduce the likelihood of mismanagement; whether instances of fraud,
waste, or abuse exist; and whether adequate steps for detection, correction, and
prevention have been taken.
ISP reviews a variety of factors to create and implement a multi-tiered system for planning
and conducting inspections. ISP seeks to target the Department’s most significant
vulnerabilities and to make its inspections as effective and efficient as possible. ISP’s
approach for planning overseas inspections incorporates factors that provide information
on major functions at posts, including physical and information security, consular
operations, and management platforms. In its inspection planning, ISP also considers the
Department’s major management and performance challenges:
• Protection of people and facilities
• Oversight of contracts, grants, and foreign assistance
• Information security and management
• Financial and property management
• Operating in contingency and critical environments
• Workforce management
• Promoting accountability through internal coordination and clear lines of authority
FYs 2020-2021 WORK PLAN 30
PLANNED FY 2020 INSPECTIONS BY REGION
Region Inspection Initiation Date
Africa
Embassy Ouagadougou, Burkina Faso Fall 2019
Embassy Yaoundé and Branch Office, Cameroon
Embassy Abuja & Constituent Post, Nigeria
Spring 2020
Embassy Cotonou, Benin
Embassy Lomé, Togo
Embassy Praia, Cape Verde Winter or
Spring 2020 Embassy Windhoek, Namibia
Europe
Embassy Bern, Switzerland Fall 2019
U.S. Mission to the United Nations and Other
International Organizations in Geneva
Embassy London & Constituent Posts, United
Kingdom
Embassy Prague, Czech Republic Winter 2020
Embassy Vilnius, Lithuania
Embassy Luxembourg, Luxembourg
East Asia
Embassy Jakarta & Constituent Posts, Indonesia Spring 2020
U.S. Mission to the Association
of Southeast Asian Nations
Embassy Ulaanbaatar, Mongolia
Winter or
Spring 2020
Near East Asia
Libya External Office, Tunis, Tunisia Winter 2020
Embassy Beirut, Lebanon Spring 2020
Embassy Doha, Qatar
South and Central Asia
Embassy Dhaka, Bangladesh Fall 2019
Embassy Kathmandu, Nepal
Domestic
Bureau of European and Eurasian Affairs Fall 2019
Bureau of Counterterrorism and
Countering Violent Extremism
Bureau of Diplomatic Security,
Office of Antiterrorism Assistance
Spring 2020
Bureau of Medical Services
U.S. Agency for Global Media’s Journalistic
Standards
FYs 2020-2021 WORK PLAN 31
Locations of Planned FY 2020 Inspections
In addition to the inspections listed above, ISP may also conduct targeted inspections,
compliance follow-up reviews, or management assistance reports, as necessary. ISP will
develop its FY 2021 inspection schedule and announce that schedule to the Department
in July 2020.
FYs 2020-2021 WORK PLAN 32
Office of Investigations
The Office of Investigations (INV) conducts worldwide investigations of criminal, civil, and
administrative violations related to programs and operations of the Department, USAGM,
and USIBWC. Investigations conducted by OIG special agents are usually initiated as a
result of allegations received from the following:
, OIG audit or inspection
teams, Department or USAGM management or employees, other OIGs, other Federal law
enforcement agencies, Congress, or the public. Criminal and civil investigations are referred
to the Department of Justice for prosecution. In addition, investigations may be referred to
HR, DS, OPE, or other agencies for administrative or other appropriate action.
Below is a summary of OIG cases closed during FY 2018.
FY 2018 Cases Closed
Procurement and grant funds represent a key component of foreign assistance, and OIG
plays a critical oversight role to ensure these funds are expended properly and are not
subject to fraud, waste, or abuse. Since FY 2011, INV has continued to focus on identifying
and referring appropriate cases to the Department and USAGM for suspension and
debarment, as shown below.
FYs 2020-2021 WORK PLAN 33
Suspension and Debarment Actions Taken by the Department as a Result of OIG
Referrals, FY 2013 through FY 2019-Q2
FY 2020–FY 2021 AREAS OF EMPHASIS AND PREVENTIVE ACTIONS
INV’s top priorities for FY 2020 and FY 2021 continue to be protecting the integrity of
Department, USAGM, and USIBWC programs and operations through investigations,
(including investigations targeting contract fraud, grant fraud, and public corruption or
other criminal or serious noncriminal employee misconduct) as well as enhancing
investigative and proactive capabilities to identify and deter criminal activity and
misconduct. INV’s field offices in Frankfurt, Germany, and Charleston, SC, as well as its
emerging data analytics capabilities, play a vital role in OIG’s investigative oversight of the
Department’s high-risk, high-cost programs and operations.
The Inspector General is charged with fraud prevention and detection. To increase OIG’s
oversight ability and meet this objective, INV’s data analytics team has expanded its
capabilities with support from AUD and ISP to assist OIG by assuming a proactive, cross-
cutting and risk-based approach, supporting efforts to identify potential fraud and other
vulnerabilities as well as assisting with ongoing investigations, audits, inspections, and
evaluations. In addition, INV may work with ESP to issue management assistance reports
that identify systemic weaknesses and vulnerabilities to fraud, waste, and abuse in
Department systems and programs and recommend corrective actions to help Department
managers address these shortcomings. INV also actively participates in OIG outreach
programs by providing fraud awareness briefings to educate Department employee groups
and training classes on potential indicators of fraud.
OIG HOTLINE
INV also maintains the OIG Hotline, a confidential channel for complaints concerning
violations of law or regulation, fraud, waste, abuse, or substantial and specific threats to
public health and safety. Complaints to the OIG Hotline have generated numerous
successful investigations resulting in criminal, civil, and administrative actions. In FY
2018, the hotline processed nearly 2,200 complaints. Allegations may be reported to the
hotline by contacting https://www.stateoig.gov/hotline or by calling
1-800-409-9926.
https://www.stateoig.gov/hotline
FYs 2020-2021 WORK PLAN 34
Office of Overseas Contingency Operations Oversight
OIG has joint responsibility to oversee current and future overseas contingency
operations (OCOs) under Section 8L of the IG Act, which provides for designation of a lead
inspector general (Lead IG) for each OCO from among the inspectors general of DoD, the
Department, and USAID.
OIG’s Office of Overseas Contingency Operations Oversight collaborates with DoD and
USAID Offices of Inspector General, and coordinates OCO oversight planning and
execution within OIG to fulfill our joint Lead IG responsibilities. As of September 2019,
there are six OCOs requiring Lead IG oversight: Operation Inherent Resolve to defeat the
Islamic State of Iraq and Syria (ISIS) in those two nations; Operation Freedom’s Sentinel to
train, advise, and assist Afghan security forces and conduct counterterrorism missions
against the remnants of al-Qaeda, ISIS, and other terrorist groups in Afghanistan;
Operation Pacific Eagle-Philippines to provide assistance to Philippine security forces in
their fight against ISIS and other violent extremist organizations; and three additional
classified OCOs. Lead IG activities in support of each OCO include (1) joint strategic
planning to provide comprehensive oversight of all OCO-related programs and
operations; (2) program management to track, monitor, and update OCO-related
information; and (3) collaboration to collect and analyze interagency information and
prepare quarterly reports for Congress on the whole-of-government effort in support of
each OCO.
The three Offices of Inspector General conduct joint and individual audits, inspections,
evaluations, and investigations to provide independent, effective oversight of all programs
and operations of the U.S. Government that support each OCO. OIG also inspects
leadership, policy implementation, and resource management at overseas embassies and
domestic bureaus related to OIG’s Lead IG oversight mandate.
Specific projects planned for FYs 2020 and 2021 in support of OIG’s OCO oversight mission
are, to the extent permissible in an unclassified setting, listed in the table below. The
listed projects are described in more detail in the preceding pages of this work plan.
FYs 2020-2021 WORK PLAN 35
Planned FYs 2020–2021 OIG Oversight Activities in Support of the Lead IG OCO
Oversight Mandate
• Audit of Rightsizing of U.S. Embassies Kabul and Baghdad
• Audit of the Special Immigrant Visa Program for Iraq and Afghanistan
• Audit of the Bureau of Overseas Building Operations’ Construction of the New
Consulate General in Erbil, Iraq
• Audit of Personal Property Accountability at U.S. Mission Iraq
• Audit of Food Services Under the Afghanistan Life Support Services Contract
• Compliance Follow-Up Review of the Bureau of Near Eastern Affairs Selection and
Management of Contract Oversight Personnel in Iraq
• Audit of the Office of Global Women’s Issues’ Implementation of the National
Action Plan on Women, Peace, and Security
• Audit of Department of State’s Risk Assessments and Monitoring of Awards to
International Organizations
• Audit of Remote Mission Operations in Contingency Environments
• Compliance Follow-Up Audit on the Department’s Efforts to Measure, Evaluate,
and Sustain Antiterrorism Assistance Program Objectives in Southeast Asia
• Audit of New Embassy Compound Construction – Ankara, Turkey
• Audit of the Bureau of Overseas Building Operations’ Construction of the New U.S.
Embassy Annex in Nairobi, Kenya and Amman, Jordan
• Audit of Department of State’s Implementation of the Post Security Program
Reviews
• Inspection of Embassies Doha, Qatar, and Beirut, Lebanon
• Inspection of the Bureau of Counterterrorism and Countering Violent Extremism
• Inspection of the Bureau of Diplomatic Security, Office of Antiterrorism Assistance
FYs 2020-2021 WORK PLAN 36
Appendix A: Abbreviations and Definitions
Identifier Definition
A Bureau of Administration
AF Bureau of African Affairs
AQM Office of Acquisitions Management
ATA Antiterrorism Assistance
AUD Office of Audits
BP Bureau of Budget and Planning
CA Bureau of Consular Affairs
CFO Act Chief Financial Officer Act of 1990
CFR Compliance Follow-Up Review
CGFS Bureau of Comptroller and Global Financial Services
COR Contracting Officer’s Representatives
CST Office of Consular Systems and Technology
CT Bureau of Counterterrorism and Countering Violent Extremism
DATA Act Digital Accountability and Transparency Act of 2014
Department Department of State
DoD Department of Defense
DOSAA Department of State Authorities Act
DS Bureau of Diplomatic Security
EAP Emergency Action Plan
ESP Evaluations and Special Projects
EUR Bureau of European and Eurasian Affairs
F Office of U.S. Foreign Assistance Resources
FAC-COR Federal Acquisitions Certification Contracting Officer’s Representative
FISMA Federal Information Security Management Act
FY Fiscal Year
GDSS Global Development Support Services
GTM Government Technical Monitor
HR Bureau of Human Resources
INL Bureau of International Narcotics and Law Enforcement Affairs
INR Bureau of Intelligence and Research
INV Office of Investigations
IRM Bureau of Information Resource Management
ISIS Islamic State of Iraq and Syria
ISP Office of Inspections
IT Information Technology
M/PRI Office of Management Policy, Rightsizing, and Innovation
MERO Middle East Region Operations
NCSC National Center for State Courts
NEA Bureau of Near Eastern Affairs
FYs 2020-2021 WORK PLAN 37
Identifier Definition
NEC New Embassy Compound
NOX New Office Annex
OBO Bureau of Overseas Buildings Operations
OCO Overseas Contingency Operations
OIG Office of Inspector General
OMB Office of Management and Budget
ONDCP Office of National Drug Control Policy
OPE Office of Procurement Executive
PAT Post Assignment Travel
PIERS Passport Information and Electronic Records System
PSPR Post Security Program Review
RCSO Regional Contract Support Office
RPSO Regional Procurement Support Office
S/GWI Secretary’s Office for Global Women’s Issues
SAP Special Access Programs
SCA Bureau of South and Central Asian Affairs
SCI Sensitive Compartmented Information
SIGAR Special Inspector General for Afghanistan Reconstruction
SIV Special Immigrant Visa
SLA Service Level Agreement
USAGM U.S. Agency For Global Media (Formally the Broadcasting Board of
Governors)
USAID U.S. Agency For International Development
USIBWC International Boundary and Water Commission, United States and
Mexico, U.S.
WHA Bureau of Western Hemisphere Affairs
WPC Whistleblower Protection Coordinator
HELP FIGHT
FRAUD, WASTE, AND ABUSE
1-800-409-9926
Stateoig.gov/HOTLINE
If you fear reprisal, contact the
OIG Whistleblower Coordinator to learn more about your rights.
WPEAOmbuds@stateoig.gov
Office of Inspector General | U.S. Department of State | 1700 North Moore Street | Arlington, Virginia 22209
https://oig.state.gov/HOTLINE
mailto:WPEAOmbuds@stateoig.gov
- Message from the Inspector General
- OIG Strategic Plan Goals and Objectives for Fiscal Years 2019-2021
ACCOUNTABILITY
RESPECT
COMMUNICATION
TEAMWORK
INTEGRITY
CURIOSITY
Oversight Responsibilities and Organization
OIG Work Planning Process
Compliance Process
Office of Audits
AUDIT DIRECTORATE
Office of Evaluations and Special Projects
WHISTLEBLOWER PROTECTION
EVALUATIONS AND SPECIAL PROJECTS
Office of Inspections
PLANNED FY 2020 INSPECTIONS BY REGION
Office of Investigations
FY 2020–FY 2021 Areas of Emphasis and Preventive Actions
OIG Hotline
Office of Overseas Contingency Operations Oversight
Appendix A: Abbreviations and Definitions
FRAUD, WASTE, AND ABUSE
Order an Essay Now & Get These Features For Free:
Turnitin Report
Formatting
Title Page
Citation
Outline
