Recommendations

Audit of Department of State FY 2014 Compliance With Improper Payments Requirements

AUD-FM-15-26 May 2015

Recommendation Number

1

Closed Implemented

OIG recommends that the Bureau of the Comptroller and Global Financial Services expand its process to identify programs with significant funding changes to consider additional factors that may increase the risk of significant improper payments, including, at a minimum, the percentage increase of the change.
Recommendation Number

2

Closed Implemented

OIG recommends that the Bureau of the Comptroller and Global Financial Services develop and implement a method to obtain information on improper payments identified and recovered by other Department of State offices and bureaus to ensure that the Agency Financial Report includes all amounts required by the Office of Management and Budget.
Recommendation Number

3

Closed Implemented

OIG recommends that the Bureau of the Comptroller and Global Financial Services fully implement recapture audit procedures for all payment types, including annuity payments, grant payments made through the Payment Management System, employee salary and benefit payments, and other excluded payments.

Inspection of Embassy Port Louis, Mauritius

ISP-I-15-19A April 2015

Recommendation Number

1

Closed Implemented

Embassy Port Louis should disseminate a management notice that informs all employees of Department of State policy for use of record and nonrecord emails and requires that employees observe the policy.
Recommendation Number

2

Closed Implemented

Embassy Port Louis should use the Department of State’s standard filing system in a common-use drive.
Recommendation Number

3

Closed Implemented

Embassy Port Louis should submit an FY 2015 Public Diplomacy Implementation Plan that cites the mission’s Integrated Country Strategy goals.
Recommendation Number

4

Closed Implemented

The Bureau of Consular Affairs should approve the request from Embassy Port Louis to change the designated post for processing immigrant visa applications for Mauritius and Seychelles from Embassy Nairobi to Consulate General Johannesburg.
Recommendation Number

5

Closed Implemented

Embassy Port Louis, in coordination with the Bureau of Consular Affairs and the Bureau of African Affairs, should clarify in writing the duties of the consular agent in Seychelles.
Recommendation Number

6

Closed Implemented

The Bureau of Consular Affairs should issue guidance that is incorporated into the intranet site on consular agents that advises supervisory consular officers to have a backup communications system in place so that consular agents will always have access to OpenNet.
Recommendation Number

7

Closed Implemented

Embassy Port Louis should conduct quarterly cash verifications of subcashier funds in Seychelles and submit those verifications to the Class B cashier.
Recommendation Number

8

Closed Implemented

Embassy Port Louis should submit an updated post hardship differential questionnaire for review.
Recommendation Number

9

Closed Implemented

Embassy Port Louis, in coordination with the Bureau of Human Resources, should conduct required surveys and analysis to update the local compensation plan for locally employed staff.
Recommendation Number

10

Closed Implemented

Embassy Port Louis should issue a written motor vehicle safety policy.
Recommendation Number

11

Closed Implemented

Embassy Port Louis should require that incidental drivers are medically certified to drive government vehicles.
Recommendation Number

12

Closed Implemented

Embassy Port Louis should conduct annual purchase card program reviews.
Recommendation Number

13

Closed Implemented

Embassy Port Louis should designate an officer other than the accountable property officer to serve as the property disposal officer.
Recommendation Number

14

Closed Implemented

Embassy Port Louis should update and test its information technology contingency plan annually in accordance with Department of State regulations.
Recommendation Number

15

Closed Implemented

Embassy Port Louis should comply with all reporting requirements for the Port Louis Employee Association.
Recommendation Number

16

Closed Implemented

Embassy Port Louis should follow required procedures for the management of grants.

Inspection of Embassy Astana, Kazakhstan

ISP-I-15-18A April 2015

Recommendation Number

1

Closed Implemented

The Bureau of Oceans and International Environmental and Scientific Affairs, in coordination with the Bureau of South and Central Asian Affairs, should provide Embassy Astana with instructions on priorities for environment, science, technology, and health work that have been agreed upon by both bureaus.
Recommendation Number

2

Closed Implemented

The Bureau of Consular Affairs, in coordination with the Bureau of Human Resources, should downgrade FS-02 position 30010004 in Almaty to FS-03, upgrade FS-03 position 30010128 in Astana to FS-02, and assign the countrywide consular coordinator position to Astana upon the departure of the incumbents.
Recommendation Number

3

Closed Implemented

Embassy Astana, in coordination with the Bureau of South and Central Asian Affairs, should transition the alternate service provider platform to the Department of State by the end of FY 2015.
Recommendation Number

4

Closed Implemented

Embassy Astana should conduct its annual International Cooperative Administrative Support Services review, including staffing needs.
Recommendation Number

5

Closed Implemented

Embassy Astana, in coordination with the Bureaus of Human Resources and South and Central Asian Affairs, should determine whether the U.S. Government can withhold and pay Kazakhstan income taxes on behalf of locally employed staff.
Recommendation Number

6

Closed Implemented

Embassy Astana should require Consulate General Almaty to complete its post differential questionnaire and submit it to the Bureau of Administration’s Office of Allowances.
Recommendation Number

7

Closed Implemented

Embassy Astana should publicize the names and contact information for its Equal Employment Opportunity counselors in Astana and Almaty.
Recommendation Number

8

Closed Implemented

Embassy Astana should enforce the regulation that motor vehicle operators should not be on duty more than 10 hours, and only after a minimum 8-hour sleep period.
Recommendation Number

9

Closed Implemented

Embassy Astana should conduct tests of its high-frequency radio on a weekly basis and record the results on the high-frequency reporting SharePoint site.
Recommendation Number

10

Closed Implemented

Embassy Astana should test its information technology contingency plan annually.
Recommendation Number

11

Closed Implemented

Embassy Astana should implement a standard operating procedure to scan its dedicated Internet network on a regular basis.
Recommendation Number

12

Closed Implemented

Embassy Astana should establish a transition plan detailing the OpenNet services that the alternate service provider is still responsible for supporting.
Recommendation Number

13

Closed Implemented

Embassy Astana should complete all delinquent reports for the American Community Association and submit them to the Office of Commissary and Recreation Affairs.
Recommendation Number

14

Closed Implemented

Embassy Astana should bring its cell phone program into compliance with Department regulations.

Audit of Bureau of International Security and Nonproliferation Administration and Oversight of Foreign Assistance Funds Related to the Export Control and Related Border Security Program

AUD-SI-15-23 April 2015

Recommendation Number

1

Closed Implemented Significant

OIG recommends that the Bureau of International Security and Nonproliferation, Office of Export Control Cooperation, in coordination with the Bureau of Administration, Office of Logistics Management, Office of Acquisitions Management, establish and implement a process to monitor contracting officer's representatives' contract files to ensure that all required information is documented in accordance with Department policies and the Federal Acquisition Regulation.
Recommendation Number

2

Closed Implemented Significant

OIG recommends that the Bureau of International Security and Nonproliferation, Office of Export Control Cooperation, in coordination with the Bureau of Administration, Office of Logistics Management, Office of Acquisitions Management when applicable, establish and implement a process to monitor grants officer representatives’ grant files to ensure that all required information is documented in accordance with Department policies.
Recommendation Number

3

Closed Implemented

OIG recommends that the Bureau of International Security and Nonproliferation, Office of Export Control Cooperation, provide all Financial Management Team personnel with direct access to the Global Financial Management System to accurately track all Export Control and Related Border Security Program-funded contract and grant obligations, de-obligations, and unliquidated obligations.
Recommendation Number

4

Closed Implemented

OIG recommends that the Bureau of International Security and Nonproliferation, Office of Export Control Cooperation, direct Action Officers to review and implement the office's communication policy.
Recommendation Number

5

Closed Implemented

OIG recommends that the Bureau of International Security and Nonproliferation, Office of Export Control Cooperation, establish and implement a policy to require that all procurement requests be documented and vetted through headquarters, the embassy, and the host-government prior to contract award.
Recommendation Number

6

Closed Implemented

OIG recommends that the Bureau of International Security and Nonproliferation, Office of Export Control Cooperation establish and implement a process to monitor whether contractors/grantees meet all reporting and deliverable requirements.
Recommendation Number

7

Closed Implemented

OIG recommends that the Bureau of International Security and Nonproliferation, Office of Export Control Cooperation, establish and implement policies to retain and electronically maintain central, accessible, and complete files for all Export Control and Related Border Security Program-related documents.
Recommendation Number

8

Closed Implemented

OIG recommends that the Bureau of International Security and Nonproliferation, Office of Export Control Cooperation, direct EXBS Advisors and Coordinators to conduct end-use monitoring for Export Control and Related Border Security Program-donated equipment in accordance with policies.

Inspection of Embassy Dushanbe, Tajikistan

ISP-I-15-17A March 2015

Recommendation Number

1

Closed Implemented

Embassy Dushanbe should revise and implement its professional development program for first- and second-tour personnel to develop employee skills related to working and representing the United States overseas.
Recommendation Number

2

Closed Implemented $116,000

Embassy Dushanbe, in coordination with the Bureau of International Narcotics and Law Enforcement Affairs, should determine the cost effectiveness of self implementing its program of salary assistance to Tajikistan’s Drug Control Agency rather than paying fees to implementing agencies.
Recommendation Number

3

Closed Implemented

Embassy Dushanbe should establish a security assistance working group and use it to coordinate security assistance programs.
Recommendation Number

4

Closed Implemented

Embassy Dushanbe should designate a civilian official as security cooperation officer with oversight responsibility for the International Military Education and Training program and for Foreign Military Financing programs.
Recommendation Number

5

Closed Implemented

Embassy Dushanbe should standardize public diplomacy grants oversight, including monitoring and file maintenance.
Recommendation Number

6

Closed Implemented

Embassy Dushanbe should conduct visa validation studies with issuance data from FYs 2013 and 2014.
Recommendation Number

7

Closed Implemented

Embassy Dushanbe should conduct town hall meetings annually for resident American citizens to recruit additional wardens and better inform current wardens of their responsibilities and their role in protecting U.S. citizens.
Recommendation Number

8

Closed Implemented

Embassy Dushanbe should conduct periodic tests of its warden system.
Recommendation Number

9

Closed Implemented

Embassy Dushanbe should amend the FY 2016 Mission Resource Request to delete the request for an assistant regional security officer-investigator position.
Recommendation Number

10

Closed Implemented

Embassy Dushanbe should update all management policies and file accordingly.
Recommendation Number

11

Closed Implemented

Embassy Dushanbe should transition from International Cooperative Administrative Support Services Lite to Standard.
Recommendation Number

12

Closed Implemented

Embassy Dushanbe should conduct its annual International Cooperative Administrative Support Services review, including staffing needs.
Recommendation Number

13

Closed Implemented

Embassy Dushanbe should determine the impact of new positions on International Cooperative Administrative Support Services staffing prior to making a final decision on National Security Decision Directive 38 requests.
Recommendation Number

14

Closed Implemented

Embassy Dushanbe, in coordination with the Bureau of Human Resources, should develop a credible medical reimbursement plan for the locally employed staff.
Recommendation Number

15

Closed Implemented

Embassy Dushanbe should conclude the agreement to pay income and social security taxes for locally employed staff members.
Recommendation Number

16

Closed Implemented

Embassy Dushanbe should conduct an annual review of position descriptions to validate the classification and modify it, as necessary.
Recommendation Number

17

Closed Implemented

The Bureau of the Comptroller and Global Financial Services should reduce Embassy Dushanbe’s $300,000 cash advance to $55,000.
Recommendation Number

18

Closed Implemented

Embassy Dushanbe, in coordination with the Bureau of the Comptroller and Global Financial Services, should procure an assessment of overall cashier operations.
Recommendation Number

19

Closed Implemented

Embassy Dushanbe, in coordination with the Bureau of Overseas Buildings Operations, should produce an action plan on disposition and/or use of the Michurina warehouse site and the former chancery.
Recommendation Number

20

Closed Implemented

The Bureau of Overseas Buildings Operations should conduct a cost benefit analysis of building seismically sound housing versus leasing embassy housing in Dushanbe.
Recommendation Number

21

Closed Implemented

Embassy Dushanbe should document consideration of safety, health, and environmental factors before signing leases in embassy lease files.
Recommendation Number

22

Closed Implemented

Embassy Dushanbe should prepare a justification to the Bureau of South and Central Asian Affairs to waive the $5,000 limitation on program and International Cooperative Administrative Support Services funds used for make-ready costs.
Recommendation Number

23

Closed Implemented

Embassy Dushanbe should track make-ready costs for each residence in the housing pool and maintain make-ready documentation in the lease files.
Recommendation Number

24

Closed Implemented

Embassy Dushanbe should bring its furniture and appliance pool into compliance with the Foreign Affairs Handbook requirement.
Recommendation Number

25

Closed Implemented

Embassy Dushanbe should bring its welcome kit program into compliance with Foreign Affairs Handbook requirements.
Recommendation Number

26

Closed Implemented

Embassy Dushanbe should provide armored vehicle driver training to all its drivers.
Recommendation Number

27

Closed Implemented

The Bureau of Overseas Buildings Operations should replace the chancery roof.
Recommendation Number

28

Closed Implemented

The Bureau of Overseas Buildings Operations, in coordination with Embassy Dushanbe, should replace the compound access control canopies.
Recommendation Number

29

Closed Implemented

The Bureau of Overseas Buildings Operations, in coordination with Embassy Dushanbe, should remove the cobwebs, glue, and stripping from the publicly visible windows of the chancery.
Recommendation Number

30

Closed Implemented

Embassy Dushanbe should assess the cause of the radio signal degradation and implement corrective steps.
Recommendation Number

31

Closed Implemented

The Bureau of Information Resource Management should transition Embassy Dushanbe’s alternate network route to a satellite-based path.
Recommendation Number

32

Closed Implemented

Embassy Dushanbe should conduct monthly reviews of randomly selected user libraries and word-processing documents.
Recommendation Number

33

Closed Implemented

Embassy Dushanbe should establish and disseminate a written policy on BlackBerry distribution.
Recommendation Number

34

Closed Acceptable Alternative

The Office of Medical Services, in coordination with the Bureau of Administration and Embassy Dushanbe, should conclude a memorandum of understanding permitting cold storage vaccines to be procured in Frankfurt and shipped directly to Embassy Dushanbe.
Recommendation Number

35

Closed Implemented

Embassy Dushanbe should complete all delinquent American Community Association reports and forward them to the Office of Commissary and Recreational Affairs.
Recommendation Number

36

Closed Implemented

Embassy Dushanbe should bring its procurement and payment processes into compliance with Department regulations.
Recommendation Number

37

Closed Implemented

Embassy Dushanbe should complete a purchase card program annual review.
Recommendation Number

38

Closed Implemented

Embassy Dushanbe should designate a single officer to oversee staff overtime compensation.

Audit of Department of State Humanitarian Assistance in Response to the Syrian Crisis

AUD-MERO-15-22 March 2015

Recommendation Number

1

Closed Implemented Significant

OIG recommends that the Bureau of Population, Refugees and Migration develop complete monitoring plans for each current and future assistance award - that include the frequency and types of monitoring actions to be employed and take into account the risks involved with making the award to a particular recipient and the resources available to provide monitoring - as prescribed in Grants Policy Directive 42, Monitoring Assistance Awards.
Recommendation Number

2

Closed Implemented

OIG recommends that the Bureau of Population, Refugees and Migration develop and implement internal control procedures that ensure that grants officers follow Department guidance for monitoring a grant that has been issued to a public international organization, such as selecting the appropriate type of assistance instrument and tracking funds and grant activities, in compliance with Grants Policy Directive 54, Grants and Voluntary Contributions to Public International Organizations.
Recommendation Number

3

Closed Implemented

OIG recommends that the Bureau of Population, Refugees and Migration direct its grants officers to maintain an up-to-date and completed Form DS-4012 to ensure that the Department has a system to track all required assistance documentation to support the issuance and management of each assistance award, as prescribed in Grants Policy Directive 23, Federal Assistance File Folder, Form DS-4012.
Recommendation Number

4

Closed Implemented

OIG recommends that the Bureau of Population, Refugees and Migration implement procedures to perform periodic reviews of assigned award files to ensure that Form DS-4012 is completed in accordance with Grants Policy Directive 23, Federal Assistance File Folder, Form DS-4012.
Recommendation Number

5

Closed Implemented Significant

OIG recommends that the Bureau of Administration, Office of the Procurement Executive (A/OPE), review grant S-PRMCO-GR-1060 and amendment 4 to determine whether the amendment was improper. If an improper amendment occurred, A/OPE should identify and take appropriate administrative action.
Recommendation Number

6

Closed Implemented Significant

OIG recommends that the Bureau of Administration, Office of the Procurement Executive, modify the grants policy directives to clarify the management and oversight requirements for awards to public international organizations, including clarifying what constitutes an unauthorized commitment, and proscribe corrective actions when an unauthorized commitment occurs.

Review of the Use of Confidentiality Agreements by Department of State Contractors

ESP-15-03 March 2015

Recommendation Number

1

Closed Implemented Significant

OIG recommends that the Bureau of Administration, Office of the Procurement Executive, instruct all contracting officers for the Department of State to send a copy of the list of best practices published in this report to all companies holding a contract with the Department.
Recommendation Number

2

Closed Implemented Significant

OIG recommends that the Bureau of Administration, Office of the Procurement Executive, instruct all contracting officers for the Department of State to send a copy of the OIG hotline poster to all companies holding a contract with the Department with instructions to display it in common areas within business segments performing work for the Department.
Recommendation Number

3

Closed Implemented Significant

OIG recommends that the Bureau of Administration, Office of the Procurement Executive, instruct all contracting officers for the Department of State to send a link to the OIG video on whistleblowing to all companies holding a contract with the Department with instructions to share the video with employees.

Review of State Messaging and Archive Retrieval Toolset and Record Email

ISP-I-15-15 March 2015

Recommendation Number

1

Closed New Report Significant

The Bureau of Administration should establish a process to review record email usage by bureaus and missions annually with data provided by the Bureau of Information Resource Management and to provide feedback to those organizational units.
Recommendation Number

2

Closed New Report

The Bureau of Administration should convene functionally defined focus groups of employees to identify practical examples of official records and include them in Foreign Service Institute courses on State Messaging and Archive Retrieval Toolset and records management.
Recommendation Number

3

Closed New Report

The Bureau of Administration should issue guidance to Department of State employees and mission staff members to remind them of their record-keeping responsibilities; outline practical, function-specific examples to guide choices among cables, record emails, and working emails; and suggest that missions establish record email policies.
Recommendation Number

4

Closed New Report

The Bureau of Human Resources, in coordination with the Bureau of Administration and the Foreign Service Institute, should convene a working group to develop proposals for requiring Department of State employees to take courses on records management, both an introductory course and a refresher course, and offer those proposals for approval by the Under Secretary for Management.
Recommendation Number

5

Closed Implemented

The Foreign Service Institute, in coordination with the Bureau of Administration and the Bureau of Information Resource Management, should review its training curriculum and expand its existing and new State Messaging and Archive Retrieval Toolset course content by including hands-on State Messaging and Archive Retrieval Toolset client classroom training as well as more material on the Department of State’s requirements for keeping records.
Recommendation Number

6

Closed Implemented

The Bureau of Information Resource Management, in coordination with the Bureau of Administration, should canvass through focus groups in all bureaus periodically to identify application program errors and other obstacles to the easy and efficient use of the State Messaging and Archive Retrieval Toolset for record emails and cables.
Recommendation Number

7

Closed Implemented

The Office of Management, Policy, Rightsizing, and Innovation should establish the Electronic Records Management Working Group as a continuing entity to advise on record emails and related issues.

Management Assistance Report – Department Financial Systems Are Insufficient to Track and Report on Foreign Assistance Funds

ISP-I-15-14 March 2015

Recommendation Number

1

Closed New Report

The Office of the Deputy Secretary for Management and Resources, in coordination with the Office of U.S. Foreign Assistance Resources; the Office of Management Policy, Rightsizing, and Innovation; the Bureau of Information Resource Management; and the Bureau of the Comptroller and Global Financial Services, should develop a list of bureaus’ requirements related to tracking and reporting foreign assistance funds by program, project, country, region, and purpose (sector) and develop and implement a comprehensive plan with target completion dates to address foreign assistance tracking and reporting requirements.

Compliance Follow-up Review of the Bureau of Conflict and Stabilization Operations

ISP-C-15-13 February 2015

Recommendation Number

1

Closed Implemented

The Office of the Under Secretary of State for Civilian Security, Democracy and Human Rights, in coordination with the Bureau of Conflict and Stabilization Operations, should complete steps necessary to implement the road map and circulate the results within the Department of State and the interagency.
Recommendation Number

2

Closed Implemented

The Bureau of Human Resources, in coordination with the Office of the Under Secretary for Civilian Security, Democracy and Human Rights and the Bureau of Conflict and Stabilization Operations, should complete a workforce and workload analysis of the bureau, identify similar functions performed by other bureaus and the U.S. Agency for International Development, and implement appropriate recommendations.
Recommendation Number

3

Closed Implemented $148,700

The Bureau of Human Resources, in coordination with the Bureau of Conflict and Stabilization Operations, should reduce the number of deputy assistant secretaries in the bureau from four to three.
Recommendation Number

4

Closed Implemented

The Bureau of Conflict and Stabilization Operations should implement standard operating procedures for funding and staffing overseas programs that incorporate standards developed by other bureaus reporting to the Office of the Under Secretary for Civilian Security, Democracy and Human Rights.
Recommendation Number

5

Closed Implemented

The Office of the Legal Adviser, in coordination with the Bureau of Administration, should review the status of all personal services contracts in the Bureau of Conflict and Stabilization Operations and determine whether they conform to Federal regulations and Department guidelines.
Recommendation Number

6

Closed Implemented

The Bureau of Conflict and Stabilization Operations should prepare and enforce standard procedures on the use of personal services contracts. The procedures should be cleared by the Office of the Legal Adviser.
Recommendation Number

7

Closed Implemented

The Bureau of the Comptroller and Global Financial Services, in coordination with the Bureau of Conflict and Stabilization Operations and the Office of the Legal Adviser, should determine whether that bureau's use of personal services contracts for work that was performed substantially in the United States was a reportable violation of the Anti-Deficiency Act.
Recommendation Number

8

Closed Implemented

The Bureau of Administration should complete its grants management review of the Bureau of Conflict and Stabilization Operations.
Recommendation Number

9

Closed Implemented

The Bureau of Administration, in coordination with the Bureau of Conflict and Stabilization Operations, should identify replacement space for the front office before the bureau vacates its offices in the Harry S Truman Building.

452

$15,045,004

137

$0

423

$190,873,822

0

$0

36

$0

0

$0