HEALTHCARE COMPLIANCE 2 – WORK PLAN Information Systems homework help

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

Message from the Inspector General
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
Oversight Responsibilities and Organization ………………………………………………………………. 2
OIG Work Planning Process ………………………………………………………………………………………. 3
Compliance Process …………………………………………………………………………………………………. 3
Office of Audits ……………………………………………………………………………………………………….. 4
Office of Evaluations and Special Projects ………………………………………………………………… 27
Office of Inspections ………………………………………………………………………………………………. 29
Office of Investigations …………………………………………………………………………………………… 32
Office of Overseas Contingency Operations Oversight ………………………………………………….. 34
Appendix A: Abbreviations and Definitions ………………………………………………………………. 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

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