Inspectors General: Continued Actions Needed to Strengthen IG Oversight of the United States International Trade Commission
GAO-11-5
Published: Oct 22, 2010. Publicly Released: Oct 29, 2010.
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Highlights
Inspectors general (IG) are to provide independent and objective oversight; however, the United States International Trade Commission (USITC) has relied on acting and temporary IGs for an extended period of time. GAO was asked to determine (1) the extent of oversight provided by the USITC IG, (2) the budget and staffing resources available for oversight, and (3) how the role of the IG is addressed in the governance of USITC. To accomplish these objectives, GAO reviewed USITC IG reports and budgets for fiscal years 2005 through 2009, and relevant policies and procedures regarding governance and accountability. GAO also interviewed the USITC Chairman, Commissioners, current and former acting and temporary IGs, and office directors.
Recommendations
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Other | The USITC IG should prepare a staffing analysis to determine the level of budget and staff resources needed to conduct the audits identified in audit plans, including audits required by statutes; audits of management challenges identified by the IG; and performance audits of economy, efficiency, and effectiveness of USITC's programs, offices, and activities. |
USITC's (Commission) Inspector General (IG) developed and issued a five-year strategic plan to guide the activities of the OIG for fiscal years 2011-2015. The strategic plan describes the Commission's strategic goals, performance goals, and the OIG's audit strategy for reviewing areas that are critical to the Commission's success. Included in the plan are audit strategies for determining effective and efficient operations, including discussion of audits required by statutes and audits of USITC's management challenges. The OIG's FY 2013 annual audit plan addresses mandatory reviews (financial statement and federal information security management act reviews), planned reviews of the Commission's strategic operation reviews, internal control reviews, and information technology reviews. These reviews are intended to promote and preserve the efficiency, effectiveness, and integrity of the USITC. The IG also developed a staffing plan and budget analysis to support the activities identified in the strategic plan. The process identified the need for additional staff, and a fifth OIG staff member was hired.
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| United States International Trade Commission | The Chairman of USITC should revise the policies and procedures for all offices and programs to recognize the authorities and responsibilities of the IG under the IG Act, including procedures for recognizing the IG's authority for access to USITC documents, records, and information. |
USITC's (Commission) Chairman issued two Memorandum of Understanding (MOU) between the Inspector General and the Commission that address Office of Inspector General (OIG) access and custody of Commission records; and OIG notification of possible criminal violations. Also, the Chairman added information to the orientation information for Commissioners that provides an overview and authorities of the OIG. This document provides the policy directives and links that relate to the OIG's authorities and responsibilities under the IG Act.
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| United States International Trade Commission | The Chairman of USITC should revise the formal written orientation information provided to the Commissioners to include sections on (1) the overall authorities and responsibilities of the IG; (2) the IG's authority and USITC's policies for IG access to USITC documents, records, and information; and (3) the responsibilities of the Chairman to maintain an appointed IG. |
USITC's (Commission) Chairman added information to the orientation information for Commissioners that provides an overview and authorities of the OIG. This document provides the policy directives and links that relate to the OIG's authorities and responsibilities under the IG Act. Also, the orientation information contains a section on the USITC Inspector General's appointment, stating the IG Act of 1978 requires the Commission to appoint an Inspector General in accordance with applicable laws and regulations. Furthermore, the Chairman issued two Memorandum of Understanding (MOU) between the Inspector General and the Commission that address Office of Inspector General (OIG) access and custody of Commission records; and OIG notification of possible criminal violations.
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| United States International Trade Commission | The Chairman of USITC should work with the IG to establish a memorandum of understanding (MOU) or similar mechanism to ensure that all USITC investigative matters that may cover areas also investigated by the IG are coordinated with the IG's office. |
USITC's (Commission) Chairman issued a Memorandum of Understanding (MOU) between the Inspector General and the Commission that address notification to the Office of Inspector General (OIG) of possible violations of criminal law. The MOU states that if the Chairman has reason to believe that a violation of criminal law may have occurred related to Commission operations, the Chairman will promptly notify the OIG of the possible violation.
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Topics
AccountabilityAudit oversightDocumentationGovernment job appointmentsInspectors generalInternal auditsInternal controlsInvestigations by federal agenciesRecordsReporting requirementsStaff utilizationStrategic planningTemporary employmentAgency evaluationBudget activitiesPolicies and procedures