Recommendations

Audit of Department of State FY 2021 Compliance With Payment Integrity Requirements

AUD-FM-22-30 June 2022

Recommendation Number

1

Closed Implemented

OIG recommends that the Bureau of the Comptroller and Global Financial Services develop and implement procedures to consider significant events occurring after the assessment period if those events could impact risk assessment conclusions regarding improper and unknown payments.

Management Assistance Report: The Department of State’s Records Retirement Process

ISP-22-20 June 2022

Recommendation Number

1

Closed Implemented

The Bureau of Administration should require that the Records and Archives Management Division implement internal controls to hold bureaus, offices, and overseas posts accountable for complying with Federal and Department records retirement standards.
Recommendation Number

2

Closed Implemented

The Bureau of Administration should require the Records and Archives Management Division to establish a process to identify the status of permanent records that are eligible for retirement but not yet retired, in accordance with Department guidance.
Recommendation Number

3

Closed Implemented

The Bureau of Administration should require the Records and Archives Management Division to review electronic records for compliance with Department records retirement requirements.
Recommendation Number

4

Closed Implemented

The Bureau of Administration should require the Records and Archives Management Division to comply with the requirements established in Executive Memorandum M-19-21 and National Archives and Records Administration Bulletin 2020-01.
Recommendation Number

5

Closed Implemented

The Bureau of Administration should require the Records and Archives Management Division to update the Permanent Records Retirement Dashboard to provide an explanation of the data and contact information for questions about the dashboard.
Recommendation Number

6

Closed Implemented

The Bureau of Administration should require the Records and Archives Management Division to establish a process for regularly communicating with bureau and post records coordinators.
Recommendation Number

7

Closed Implemented

The Bureau of Administration should implement procedures to regularly review and update the Department’s records retirement policies and procedures in the Foreign Affairs Manual and Foreign Affairs Handbook in accordance with Department guidelines.
Recommendation Number

8

Closed Implemented

The Bureau of Administration should require the Records and Archives Management Division to update records disposition schedules for overseas posts to reflect all Department messaging methods.

Review of the Recruitment and Selection Process for Public Members of Foreign Service Selection Boards

ESP-22-02 May 2022

Recommendation Number

1

Closed Implemented

The Bureau of Global Talent Management should review the Foreign Affairs Manual qualifications for Foreign Service Selection Board public members to determine whether any revisions are necessary, such as broadening or changing public member qualification criteria to avoid potential conflicts.
Recommendation Number

2

Closed Implemented

The Bureau of Global Talent Management should revise its Foreign Service Selection Board public member outreach letters to include all the qualifications listed in the Foreign Affairs Manual and any other internal requirements.
Recommendation Number

3

Closed Implemented

The Bureau of Global Talent Management (GTM) should issue regular reminders to GTM personnel of its policy prohibiting relatives of Department employees from serving as Foreign Service Selection Board public members and of the Standards of Ethical Conduct for Employees of the Executive Branch.
Recommendation Number

4

Closed Implemented

The Bureau of Global Talent Management (GTM) should prohibit GTM employees involved in the selection of Foreign Service Selection Board public members from referring for consideration individuals with personal connections.
Recommendation Number

5

Closed Implemented

The Bureau of Global Talent Management should consider broadening its list of law enforcement organizations receiving Foreign Service Selection Board public member outreach letters.
Recommendation Number

6

Closed Implemented

The Bureau of Global Talent Management should revise its written procedures on Foreign Service Selection Board public member recruitment to define and institute a transparent and consistent “word of mouth” referral policy, which should be communicated to staff and relevant external parties.
Recommendation Number

7

Closed Implemented

The Bureau of Global Talent Management should update the Foreign Service Selection Board public member contract request memos to accurately describe the recruitment process and the specific recruitment source of the individual who is to receive the contract.
Recommendation Number

8

Closed Implemented

The Bureau of Administration should direct its Contracting Officer for Foreign Service Selection Board public contracts to comply with all FAR requirements, including requirements on notices, justifications, and determination of pricing.
Recommendation Number

9

Closed Implemented

The Bureau of Administration, in coordination with the Bureau of Global Talent Management, should review and consider whether there are more appropriate alternatives to the current procurement vehicle and payment structure for obtaining Foreign Service Selection Board public member service.
Recommendation Number

10

Closed Implemented

The Bureau of Global Talent Management should develop a mechanism to retain and track Foreign Service Selection Board public member applicants, including through a dedicated email account or other IT system to receive applicants.
Recommendation Number

11

Closed Implemented

The Bureau of Global Talent Management should revise the Foreign Service Selection Board public member recruitment written procedures to include formal selection procedures such as a ranking or scoring rubric to ensure that offers are not made to less than fully qualified applicants until all better qualified applicants have been considered.
Recommendation Number

12

Closed Implemented

The Bureau of Global Talent Management (GTM) should develop stronger internal controls for the administration of Foreign Service Selection Boards by GTM Office of Performance Evaluation staff, such as a written recusal policy for GTM employees with relatives in the Foreign Service and written instructions regarding communications concerning sensitive FSSB matters.
Recommendation Number

13

Closed Implemented

The Bureau of Global Talent Management should review the internal control system for the administration of Foreign Service Selection Boards and develop a corrective action plan to remediate any internal control deficiencies prior to the next Foreign Service Selection Boards convening.

Inspection of the Bureau of Diplomatic Security’s Diplomatic Courier Service

ISP-I-22-13 May 2022

Recommendation Number

1

Closed Implemented

The Bureau of Diplomatic Security should require Diplomatic Courier Service leadership to develop and share its process for courier assignments with all employees including the commitment that decisions will be made free of favoritism.
Recommendation Number

2

Closed Implemented

The Bureau of Diplomatic Security, in coordination with the Bureau of Administration, should require the Diplomatic Courier Service to revise and disseminate Foreign Affairs Manual and internal Diplomatic Courier Service guidance to clarify (1) what types of classified pouch security incidents must be reported and (2) the mechanisms diplomatic couriers must use to report the incidents.
Recommendation Number

3

Closed Implemented

The Bureau of Administration, in coordination with the Bureau of Diplomatic Security, should establish a process for an information systems security officer team to review and approve development work and changes to Classified Pouch Modernization Effort applications for security compliance.
Recommendation Number

4

Closed Implemented

The Bureau of Diplomatic Security should require the Diplomatic Courier Service to maintain Classified Pouch Modernization Effort project documentation in a central location on the Department network.

Inspection of Embassy Budapest, Hungary

ISP-I-22-12 May 2022

Recommendation Number

1

Closed Implemented

Embassy Budapest should comply with Department standards for grant file documentation.
Recommendation Number

2

Closed Implemented

Embassy Budapest should conduct and submit an annual housing market survey in accordance with Department requirements.
Recommendation Number

3

Closed Implemented

Embassy Budapest should use the Integrated Logistics Management System to account for all personal protective equipment, clothing, and uniforms in accordance with Department standards.
Recommendation Number

4

Closed Implemented

Embassy Budapest should comply with Department overseas motor vehicle safety standards for professional and incidental drivers under chief of mission authority.
Recommendation Number

5

Closed Implemented

Embassy Budapest should enter motor vehicle operational costs into the Fleet Management Information System and verify the integrity of data entered into the system in accordance with Department standards.
Recommendation Number

6

Closed Implemented

Embassy Budapest should implement routine and preventive maintenance programs that comply with Department standards.
Recommendation Number

7

Closed Implemented

Embassy Budapest should administer and procure facility management expendable supplies in accordance with Department standards.
Recommendation Number

8

Closed Implemented

Embassy Budapest should implement a records management program in accordance with Department standards.
Recommendation Number

9

Closed Implemented

The Bureau of Information Resource Management, in coordination with the Regional Information Management Center Frankfurt and Embassy Budapest, should maintain Embassy Budapest’s telephone network in accordance with Department standards.
Recommendation Number

10

Closed Implemented

The Bureau of Administration, in coordination with Embassy Budapest, should work with the United States Postal Service to resolve the problem of misrouted Diplomatic Post Office mail.

Inspection of Embassy Athens and Constituent Post, Greece

ISP-I-22-14 May 2022

Recommendation Number

1

Closed Implemented

Embassy Athens should monitor and evaluate the programmatic performance of its grant recipients and document its findings, in accordance with Department standards.
Recommendation Number

2

Closed Implemented

Embassy Athens should comply with Department standards for consular crisis preparedness.
Recommendation Number

3

Closed Implemented

Embassy Athens should require that safety certifications for all mission properties are conducted and documented in the Post Occupational Health and Safety Officer Certification Application and that any identified safety issues be corrected prior to occupancy, in accordance with Department standards.
Recommendation Number

4

Closed Implemented

Embassy Athens, in coordination with Bureau of Overseas Buildings Operations, should evaluate all mission residential properties for seismic risk in accordance with Department standards.
Recommendation Number

5

Closed Implemented

Embassy Athens should enforce driver duty limits for mission drivers in accordance with Department guidelines.
Recommendation Number

6

Closed Implemented

Embassy Athens should comply with Department standards on training employees in the use of powered industrial trucks.
Recommendation Number

7

Closed Implemented

Embassy Athens should submit its foreign per diem reports in accordance with Department standards.
Recommendation Number

8

Closed Implemented

Embassy Athens should dismantle and remove its shipping containers and portable structures in accordance with Department requirements or obtain authorization from the Bureau of Overseas Buildings Operations to use them as permanent storage.
Recommendation Number

9

Closed Implemented

Embassy Athens should follow Department guidance for accommodation exchange services.
Recommendation Number

10

Closed Implemented

Embassy Athens should comply with Department standards for records management.
Recommendation Number

11

Closed Implemented

Embassy Athens, in coordination with the Bureau of Information Resource Management, should complete the systems authorization process for its locally developed applications.
Recommendation Number

12

Closed Implemented

Embassy Athens should require that all Information Systems Security Officer duties be performed in accordance with Department standards.
Recommendation Number

13

Closed Implemented

Embassy Athens should register and authorize Mission Greece’s dedicated internet networks on the Department’s Information Technology Configuration Control Board Dedicated Internet Network registration site.
Recommendation Number

14

Closed Implemented $150,000

Embassy Athens should reduce its printer inventory to comply with Department standards for printer management, so that funds of up to $150,000 can be put to better use.

Audit of Department of State Actions To Prevent Unlawful Trafficking in Persons Practices When Executing Security, Construction, and Facility and Household Services Contracts at Overseas Posts

AUD-MERO-22-28 May 2022

Recommendation Number

1

Closed Implemented

OIG recommends that the Bureau of Administration update guidance to clearly communicate to Department of State contracting personnel which training courses are approved and available to meet the annual trafficking in persons (TIP) training requirement.
Recommendation Number

2

Closed Implemented

OIG recommends that the Bureau of Administration develop and implement a policy to periodically review new and existing training courses to ensure that all appropriate training is included in the guidance.
Recommendation Number

3

Closed Implemented

OIG recommends that the Bureau of Administration update Department of State guidance including the Foreign Affairs Handbook (FAH) and applicable Procurement Information Bulletins (PIB) to clarify that trafficking in persons monitoring, including developing and implementing trafficking in persons (TIP) monitoring strategies, is required for all applicable contracts, not just those that employ third-country national or migrant labor.
Recommendation Number

4

Closed Implemented

OIG recommends that the Bureau of Administration develop and implement guidance that Contracting Officers (CO) and Contracting Officer’s Representatives (COR) review contractor trafficking in persons compliance plans to determine whether their content meets requirements of Federal Acquisition Regulation (FAR) 52.222-50(h) and to inform required trafficking in persons (TIP) monitoring strategies.
Recommendation Number

5

Closed Implemented Significant

OIG recommends that the Bureau of Administration, in coordination with the Foreign Service Institute (FSI), update Department of State (Department) trafficking in persons (TIP) training to clarify that TIP monitoring is required for all applicable contracts, not just those that employ third-country national or migrant labor.
Recommendation Number

6

Closed Implemented Significant

OIG recommends that the Bureau of Administration, in coordination with the Foreign Service Institute (FSI), update Department of State (Department) trafficking in persons (TIP) training to include discussions of Federal Acquisition Regulation (FAR) 52.222-50(h) requirements for contractors to maintain TIP compliance plans and Department guidance and requirements for reviewing the plans and using them to inform TIP contract monitoring strategies established in accordance with Recommendation 3.
Recommendation Number

7

Closed Implemented

OIG recommends that the Bureau of Administration instruct Contracting Officers (CO) with oversight responsibility for active contracts in OIG’s nonstatistical subsample, listed in Table A.4, to review contractor trafficking in persons (TIP) compliance plans associated with these contracts and determine whether to apply any of the remedies outlined in Federal Acquisition Regulation (FAR) 52.222-50(e) based on contractors’ failure to adhere to FAR 52.222-50(h) requirements.

Inspection of Embassy Sofia, Bulgaria

ISP-I-22-18 May 2022

Recommendation Number

1

Closed Implemented

Embassy Sofia should monitor the in-office presence of personnel to stay within the ceilings recommended by the Emergency Action Committee and approved by the Ambassador in accordance with the Department's COVID-19 Mitigation Process.
Recommendation Number

2

Closed Implemented

Embassy Sofia should comply with Department standards for grant file documentation.
Recommendation Number

3

Closed Implemented

Embassy Sofia should incorporate strategic planning principles, including evaluation, as part of digital outreach efforts, in accordance with Department standards.
Recommendation Number

4

Closed Implemented

Embassy Sofia, in coordination with the Bureau of Overseas Buildings Operations, should store furniture, furnishings, and equipment removed from its designated representational residences in accordance with Department standards.
Recommendation Number

5

Closed Implemented

Embassy Sofia should dismantle and remove its shipping containers and portable structures in accordance with Department requirements or obtain authorization from the Bureau of Overseas Buildings Operations to use them as permanent storage.
Recommendation Number

6

Closed Implemented

Embassy Sofia should use the Integrated Logistics Management System to track all uniforms and personal protective equipment in accordance with Department standards.
Recommendation Number

7

Closed Implemented

Embassy Sofia, in coordination with the Bureau of Overseas Buildings Operations, should perform seismic safety evaluations of its residential properties in accordance with Department standards.
Recommendation Number

8

Closed Implemented

Embassy Sofia should administer facility management expendable supplies in accordance with Department standards.
Recommendation Number

9

Closed Implemented

Embassy Sofia should complete information systems security officer duties in accordance with Department standards.
Recommendation Number

10

Closed Implemented

Embassy Sofia should establish a records management program in accordance with Department standards.
Recommendation Number

11

Closed Implemented

The Bureau of Administration, in coordination with Embassy Sofia, should work with the U.S. Postal Service to resolve the problem of misrouted Diplomatic Post Office mail.

Audit of the Department of State Management and Monitoring of Federal Assistance Awards to For-Profit Organizations

AUD-CGI-22-26 May 2022

Recommendation Number

1

Closed Implemented Significant

OIG recommends that the Bureau of Administration revise the Federal Assistance Directive to require Grants Officers (GO) and Grants Officer Representatives (GOR) to fully use the State Assistance Management System Domestic’s Post-Award Activities function to upload and review documentation for all post-award tasks, such as the review of Performance Progress Reports and Federal Financial Reports, GOR reports, annual reviews, other monitoring activities; and to document workflows for submitting, reviewing, and monitoring post-award activities among the GO, GOR, and award recipient.
Recommendation Number

2

Closed Implemented Significant

Concurrent with the implementation of Recommendation 1, OIG recommends that the Bureau of Administration require bureaus to perform quarterly reviews of the State Assistance Management System Domestic’s Post-Award Activities function reports. The reviews should verify that Grants Officers and Grants Officer Representatives have complied with oversight requirements such as the review of Performance Progress Reports and Federal Financial Reports, GOR reports, annual reviews, and other monitoring activities.
Recommendation Number

3

Closed Implemented Significant

Concurrent with the implementation of Recommendation 1, OIG recommends that the Bureau of Administration require bureaus to designate an official to review the State Assistance Management System’s Post-Award Activities function reports to verify that Grants Officers and Grants Officer Representatives comply with oversight requirements.
Recommendation Number

4

Closed Implemented Significant

OIG recommends that the Bureau of Administration modify the State Assistance Management System user training to include guidance on documenting the Grants Officer and Grants Officer Representative workflows within the State Assistance Management System using the Post-Award Activities function.
Recommendation Number

5

Closed Implemented

OIG recommends that the Bureau of Administration conduct a survey of Grants Officers and Grants Officer Representatives to identify technical issues related to the use of and suggested improvements for the State Assistance Management System Domestic’s Post-Award Activities function.
Recommendation Number

6

Closed Implemented

Following implementation of Recommendation 5, OIG recommends that the Bureau of Administration analyze the results of the survey to identify the reasons hindering the use of State Assistance Management System Domestic’s Post-Award Activities function, including technical issues that need to be addressed and if appropriate, develop and implement a corrective action plan to increase the use of the State Assistance Management System Domestic’s Post-Award Activities function.
Recommendation Number

7

Closed Implemented Significant

OIG recommends that the Bureau of Administration revise the Federal Assistance Directive to clearly articulate that the Grants Officer Representative (GOR) must provide the Grants Officer with a written assessment (GOR report) of the recipient’s performance based on a review of the Program Progress Report and Federal Financial Report within 30 days of receipt of the reports.
Recommendation Number

8

Closed Implemented

OIG recommends that the Bureau of Administration develop and implement a communications strategy that provides Grants Officer Representatives with specific and detailed requirements for financial monitoring to improve their understanding of and compliance with those requirements. This communications strategy should underscore the importance of reviewing the Federal Financial Report to ensure that the amount of funds expended is commensurate with the work accomplished on the award.
Recommendation Number

9

Closed Implemented

OIG recommends that the Bureau of Administration develop and implement a communications strategy that provides Grants Officers with specific and detailed requirements for financial monitoring to improve their understanding of and compliance with those requirements. This communications strategy should underscore the critical importance of reviewing and approving the Federal Financial Report in a timely manner within the Payment Management System, rather than allowing a default approval. It should further remind Grants Officers that Grants Officer Representatives could be delegated Federal Financial Report approval responsibility within the Payment Management System to ensure timely approval of reports.
Recommendation Number

10

Closed Implemented Significant

OIG recommends that the Bureau of Administration revise the Code of Federal Regulations, Title 2, Subtitle B, Chapter VI, Part 600, Section 600.101, to include a reference to the Federal Assistance Directive foreign for-profit audit requirements or add a new section detailing audit requirements to for-profit organizations. Language included should be consistent with the Federal Assistance Directive and the Department of State’s Standard Terms and Conditions.
Recommendation Number

11

Closed Implemented

OIG recommends that the Bureau of Administration develop and implement a communications strategy that provides Grants Officers with specific and detailed audit requirements for foreign for-profit organizations to improve their understanding of and compliance with those requirements. This communications strategy should underscore the critical importance of requiring, obtaining, and reviewing audit reports to inform risk assessments and to formulate monitoring plans.

Management Assistance Report: Improvements Needed in Procedures for Emergency Action Planning at Selected Department of State Domestic Facilities

AUD-SI-22-27 April 2022

Recommendation Number

1

Closed Implemented

OIG recommends that the Bureau of Administration develop formal, documented standard operating procedures to identify all Department of State domestic facilities requiring a Facility Emergency Action Plan (FEAP) and that those procedures be implemented in a manner that allows Office of Emergency Management officials to ensure facilities requiring a FEAP have one.
Recommendation Number

2

Closed Implemented

OIG recommends that the Bureau of Administration ensure that the Designated Official develops and certifies the Facility Emergency Action Plan for State Annex-45.
Recommendation Number

3

Closed Implemented

OIG recommends that the Bureau of Administration ensure that the Designated Official develops and certifies the Facility Emergency Action Plan for the Department of State entities at the Miami International Airport.
Recommendation Number

4

Closed Implemented

OIG recommends that the Bureau of Administration ensure that the Designated Official develops and certifies the Facility Emergency Action Plan for the Department of State entities at the McNamara Federal Building.
Recommendation Number

5

Closed Implemented

OIG recommends that the Bureau of Administration develop a communication strategy and disseminate the resulting message to the Office of Emergency Management to ensure that the results of the personnel verification process trigger the required Facility Emergency Action Plan.
Recommendation Number

6

Closed Implemented

OIG recommends that the Bureau of Administration ensure that the Designated Official develops and certifies a Long Facility Emergency Action Plan for the Department of State entities at the Denver Federal Center.
Recommendation Number

7

Closed Implemented

OIG recommends that the Bureau of Administration ensure that the Designated Official develops and certifies a Long Facility Emergency Action Plan for the Department of State entities at the Woodbridge Towers facility.
Recommendation Number

8

Closed Implemented

OIG recommends that the Bureau of Administration ensure that the Designated Official develops and certifies a Long Facility Emergency Action Plan, in accordance with Office of Emergency Management guidance, for the Department of State entities at the 330 2nd Avenue South facility.
Recommendation Number

9

Closed Implemented

OIG recommends that the Bureau of Administration ensure that the Designated Official develops and certifies a Long Facility Emergency Action Plan, in accordance with Office of Emergency Management guidance, for the Department of State entities at the 300 West Congress Federal Building.

444

$15,045,004

134

$0

416

$218,173,822

0

$0

36

$0

0

$0