List of National Archives and Records Administration (NARA) Office of the Inspector General (OIG) audit reports,

Transcription

1 Descrpton of document: Requested date: Released date: Posted date: Lst of Natonal Archves and Records Admnstraton (NARA) Offce of the nspector General (OG) audt reports, December January October-2009 Ttle of document FY 08, 07, 06, 06, 04, 03, 02, 01, 2000, 1999, 1998, 1997, 1996, 1995, 1994, 1993, 1992, Audt Reports, Summary Of Audt Reports Projected to be ssued Durng Fscal Year 1991, Summary Of Audt Reports ssued Durng Fscal Year 1990, 1989, 1988, 1987, 1986 Source of document: Offce of the nspector General FOA Request 8601 Adelph Road, Room 1300 College Park, MD Telephone: Fax: The governmentattc.org web ste ( the ste ) s noncommercal and free to the publc. The ste and materals made avalable on the ste, such as ths fle, are for reference only. The governmentattc.org web ste and ts prncpals have made every effort to make ths nformaton as complete and as accurate as possble, however, there may be mstakes and omssons, both typographcal and n content. The governmentattc.org web ste and ts prncpals shall have nether lablty nor responsblty to any person or entty wth respect to any loss or damage caused, or alleged to have been caused, drectly or ndrectly, by the nformaton provded on the governmentattc.org web ste or n ths fle. The publc records publshed on the ste were obtaned from government agences usng proper legal channels. Each document s dentfed as to the source. Any concerns about the contents of the ste should be drected to the agency orgnatng the document n queston. GovernmentAttc.org s not responsble for the contents of documents publshed on the webste.

2 Natonal Archves and Records Admnstraton Offce of the nspec~o_r_g_en_e_"'_'q_~ --:--:--::- --= --::-:-::-: Adelph Road, Sute 1300 College Park, Maryland January 13,2008 Re: Your FOA request for a lst of all OG audt reports Ths s n response to your letter of December 1, 2008 requestng "a copy of the lstng of all NARA OG audt reports." have revewed the responsve records controlled by the Offce ofthe nspector General (OG) at the Natonal Archves and Records Admnstraton (NARA), and provded redacted copes. Furthermore, n regards to your January 4, 2009 letter requestng status updates on both ths request and your December 1 request, the December 1 request s beng processed and hope to have a response soon. Redactons to the audt lst fall under exempton (b)( 6) and ncluded nformaton that consttuted a clearly unwarranted nvason of personal prvacy nvolvng names. Please note that the redactons were done by "whtng out" the relevant nformaton and replacng t wth a lne. Whle your request has been granted substantvely, you have the rght to admnstratvely appeal the denal of the redacted materal by wrtng to the Archvst, Natonal Archves and Records Admnstraton, 8601 Adelph Road, College Park, MD, 20740, wthn 35 calendar days of the date of ths letter. f you choose to appeal, your appeal letter and ts envelope should be clearly marked "Freedom ofnformaton Act Appeal," and you should explan why you beleve NARA should release the wthheld nformaton. f you have mmedate questons, you may contact me drectly at or john.smms@nara.gov. Thank you for contactng the Natonal Archves and Records Admnstraton Offce ofnspector General. Sncerely, Enclosure John M. Smms Counsel to the nspector General Natonal Archves & Records Admnstraton NARA 's web ste s

3 Natonal Archves and Records Admnstraton Offce of nspector General Lstng of Audt Reports ssued From

4 FY 08 Audt Reports Rpt. Report Ttle No Audt of the Process of Safeguardng and Accountng for Presdental Lbrary Artfacts Audt ofnara's Purchase Card Program Clfton Gunderson Audt ofnara's FY 2007 Fnancal Statements Audt ofnara's Development of the Holdngs Management System Audt ofnara's Complance wth FSMA for FY Audt ofnara's FY 2007 Management Control Program Researcher D Program Audt Revew of Electronc Records Archves Contract Drect Labor Costs Audt of Management Controls Over Accountng for Lost Property Audt of the FDCC t Audt of ERA Subcontractor Costs Mgmt Letter: Update on Condtons ofthe Museum Collecton at the Ronald Reagan Presdental Lbrary Audt ofnara's Central Recevng Functon t Letter: Work-at-Home System Project Clfton Gunderson, Revew ofp Mgmt Letter: Securty Res onse at A- ssue! Date 10/26/ / / /20/ / / / /08 8/12/08 9/ /4/ /08 9/30/08

5 FY 07 Audt Reports Rpt Report Ttle ssue : No. Date! Audt of Management Controls for Safeguardng NARA's Specally 10112/06 Protected Records and Artfacts Stored n Secured Stacks, Vaults, and Safes! Revew of Archves Fle Server Dsk Space Utlzaton 12/4/ Sutablty Determnaton of Contract Em~loyees Audt! 11/28/06! Audt ofnara's Hurrcane Katrna Related Msson Assgnments 11/20/ Audt ofnara's FY 06 Fnancal Statements 12/6/ Audt of the Processng of Records Accessoned nto NARA 2/28/ Evaluaton ofnara's FY 2006 Management Control Program 2/27/ Audt ofnara's Energy Usage 5/7/ Peer Revew of Farm Credt Admnstraton's Audt Operatons 4/ Revew of Selected Securty Aspects ofnara's Computer Network 7/2/07 Envronment The Electronc Records Archve Program Requres ndependent, 7113/07 Objectve Oversght Contngency Plannng for nformaton Technology Systems 9/20107

6 FY 06 Audt Reports Rpt No. Report Ttle ssue Date Audt ofnara's Network Permeter 12/15/ Audt of Modfcatons Made to the Performance-Based Task Order for TSS 10/12/ Management Letter: Securty Over Holdngs n Stack Areas n Archves 10/21105! Audt ofthe NARA Loan Program 12120/ Flawed Contractor Performance Work Statement Audt 10126/ FY 2005 Audt ofnara's Consoldated Fnancal Statements 12/9/ Evaluaton of NARA's Management Control Program for FY /21105 f R evlew 0 fnara' s n f ormaton S ecunty P rogram 9/ Evaluaton ofnara's Afflated Archves Program 9/9/ Audt of System Admnstrator Rghts and Controls 9/27/ OG Montorng of the Novell Netware/Groupwse Upgrade Project 6/ OG Montorng of the Novell Netware/Groupwse Upgrade Project , ~..! :

7 FY 05 Audt Reports Rpt Report Ttle ssue No Revew ofnara's Acquston of Storage Management Software 3/9/ Clfton Gunderson LLP (CG) Audt of the Natonal Archves and Records 1124/05 Admnstraton FY 2004 Fnancal Statements PrcewaterhouseCoopers (PwC) Audt of the Natonal Archves Trust and Gft Funds FY 2003 Fnancal Statements 1/24/ PrcewaterhouseCoopers (PwC) Audt of the Natonal Archves Revolvng Fund 1/24/05 FY 2003 Fnancal Statements L Revew of the Management and Operaton of NARA'S Help Desk 2/23/ Evaluaton ofnara's Processes for Handlng Personal nformaton Collected l from the Publc Audt of the Natonal Archves Trust Fund Representatonal Fund 3118/ Evaluaton ofnara's FY 2004 Management Control Program 2110/ Audt ofnara's ntruson Detecton System 411/ Revew ofnara's nformaton Technology nvestment Management Decde 3/30/05 Process Accomplshed for the Novell Software Upgrade Project NARA's nvestment Management Decde Process 4/7/ Evaluaton ofnara's Preservaton ProS!am 6/22/ Qualty Assessment/ Qualty Control Audt 8112/ Audt of the Travel Card Program 7/22/ ! Prompt Payment Audt 7122/ ! Mgmt Letter: Server Vulnerablty 6116/ Revew of Proposed Modfcaton of the TSS Task Order Securty Program 7/6/05 Requrements Revew ofnhprc Grant Program 7113/ Revew of Contractor Resources Utlzed on the TSS Contract 9/30/ ! Management Letter: NARA's Ablty to nspect Employee's Personal Property 7/25/05 date

8 FY 04 Audt Reports Rpt No. Report Ttle Audt of the Natonal Archves Gft Fund FY 2002 Fnancal Statements ' Audt of the Natonal Archves Trust Fund FY 2002 Fnancal Statements 04-04! Peer Revew of the Farm Credt Admnstraton Offce of nspector General Audt of a Subcontractor's Proposal for the Natonal Archves Buldng Stack. L htng Audt of the NARA's Records Center Revolvng Fund FY 2002 Fnancal Statements 04-07! Audt of the Transt Beneft Program 04-08! Revew of Contractor Complance wth Government Audtng Standards on the Natonal Archves Trust and Gft Funds FY 2002 Fnancal Statements Revew of Contractor Complance wth Government Audtng Standards for NARA's Records Center Revolvng Fund FY 2002 Fnancal Statements Assessment of the Controls and Securty ofnara Classfed Systems Audt ofnara's nteragency Agreements Evaluaton ofnara's FY 2003 Management Control Program Assessment ofnara's Efforts to Comply wth New Faclty Standards 04-14! Follow-Up Revew ofog Report #00-02, Revew ofnara's Process for nvestng n T Projects Revew ofnara's Water and Sewer Bllng Adjustment Charge from WSSC Evaluaton ofnara's Computer Securty ncdent Response Capablty Revew of a Contractor's nvoce for Utlty Costs for the Lyndon B. Johnson Lbrary Evaluaton of the Frst Performance Perod Award Fee Determnaton Process! for the Fxed-Prce-Award-Fee Contract! Revew ofnara's Contract for the Telephone System Revew ofnara's Admnstraton of the nformaton Technology Support Servces Contract A ward Fee Evaluaton ofnara's Password Controls ssue Date** 11114/ / / /03 3/ / / /31/04 3/2/ / /04 5/11/04! 6122/04 6/4/04 6/8/04 8/2/ /30104 r

9 FY 03 Audt Reports Audt Ttle ssue Rpt. Date No NARANET Penetraton Testng Report 11119/ Revew of a NARA Contractor Bllngs 12/4/ Floorcheck of a NARA Contractor 1114/ Revew of the NARA Trust Fund's Dsposton of Non-suffcent 3/24/03 Funds Checks and Uncollected Credt Card Transactons Audt ofnara's Controls over the Staff's Usage of the nternet 4124/ Evaluaton of the Accuracy ofnara's Performance 6/25/03. Measurement Data Audt of the Management Controls Over NARA's 14/28/03 Telecommuncaton Program Audt of a NARA Contractor's G&A and Overhead Rates 3/ Audt ofnhprc Grantee Reveals That Opportuntes Exst to. Strengthen Program Oversght 18114/ Revew ofnara's Computer Network nfrastructure Upgrade 9/29/ Assessment ofnara's Targeted Assstance Program 9/26/ Revew of the Fnal nvoce of a NARA Contractor ' 9/10/ Evaluaton ofnara's FY 2002 Management Control Program 9/29/03

10 FY 02 Audt Reports ~Audt Ttle RtN ~Pl O. : Controls Over the Charters of Freedom Assessment of Records Center Program Bllng System Records Center Program "Per Unt" Rate Formulaton Audt ofnara's Performance Apprasal Process Assessment ofnara's Grant Management Process Evaluaton of nternal Controls For NARA Trust Fund Deposts ncluson of Alternatve System Development Methodologes n NARA's SDLC Process Revew of Contract Warrants and Sole Source Justfcaton Assessm ent of Procedures Governng the Release of Federal Populaton Census Records Assessment of Management Controls Over Contractor Access and Pass Holder Temporary Ds Securty Over Charters of Freedom Contnues to Rase Concerns Frewall and Network Confguraton Advsory Report Evaluaton ofnara's Complants Processng Program Personnal Securty Advsory Report! Revew of Contractor Complance wth GAGAS for NAR FY 02 Fnancal Statement Audt Revew of Contractor Complance wth GAGAS for NAT and Gft Fund Fnancal Statement Audt PWC Audt ofnara NAR FY 2001 Fnancal Statement PWC Audt ofnar FY 2001 Fnancal Statements PWC Audt of the NARA Gft Fund FY 2001 Fnancal Statements OG Revew ofnara's Purchase Credt Card Mgmt Ltr. Securty ofnara Classfed Systems Evaluaton ofnara's Management Control Program FY 200 r ssue\ D ae t 10/ /19/02 12/4/01 2/5/02 5/29/02 4/18/02 1/29/02 8/19/02 15/6/02 9/17/02 6/7/ /02 9/30/02 9/13/08 9/16/02. 9/16/02 9/16/02 9/27/02 9/3/02 9/27/02!!!! [!

11 FY 01 Audt Reports A U d't R P t N T'tl o. e Date Floorcheck Audt of Consoldaton Engneerng Servces 12/1/2000 nc Evaluaton of the Accuracy ofpmrs Data 3/2/2001, Clnton Webste Vulnerablty 1119/ Revew ofnara's Ant-Vrus Program 3/28/ Audt of the NARA Systems Securty Program 3/28/ Survey ofnara's Order Fulfllment & Accountng 2/28/01 System (POS) and (OF AS) Evaluaton ofnara's Records Dsposal and Concurrence 7118/01 Process Revew of the Bllng System for the Rembursable 3/29/01! Program! Qustoned Costs on NARA's Waterbll 3/29/ Revew of Contractor's Complance wth Gov't Audtng 7118/01 Stds for the Audt of the NAT Trust and Gft FY 2000 Fnancal Statements Revew of Contractor's Complance wth Gov't Audtng 7118/01 stds for the Audt of the Rembursable FY 2000 Fnancal Statements PWC Audt of NAT FY 2000 Fnancal Statements 7/16/ PWC Audt of Revolvng Fund 2000 Fnancal Statements 7/16/ ! PWC Audt of Gft Fund FY 2000 Fnancal Statements 7/16/ Audt ofnara's Web Prvacy Polces and Practces 8/2/ Evaluaton ofnara's Management Control Program for 9113/01 FY Revew of Pegasys mplementaton Revew of the Sgnal Bll 10/5/01 _ ---!.....l..-- -'-

12 FY 2000 Audt Reports Audt Ttle ssue Rpt No. Date Revew ofnara's Management Control Program for FY /26/ Revew of NARA's Process for nvestng n nformaton Technology Evaluaton of the Accuracy ofnara's Performance Measurement 1/ , Data Evalauton of Property Management Software / Evaluaton ofnara's Busness Contnuty and Contngency Plan 2/ Revew ofnw's Admnstratve Operatons and Procedures 3/31/ Revew ofnara's Computer Network Backup Procedures 9/9/ Revew of Erroneous Dsposal at the WNRC 4/25/ Peer Revew of the Farm Credt OG 9/7/ Floorcheck of Sgnal Corporaton Employees 6119/2000, Audt of Equtable Adjustment Proposals by CES 5/31/ mplementaton of Agency Records Centers Regulaton 36 CFR Part 7/ Evaluaton of Duluth Georga ssues 7/ Revew of Contractor Complance wth GAS 7117/2000 j j

13 FY 1999 Audt Reports Audt Ttle ssue Rpt No. Date Evaluaton ofnara's Management Control Program for FY /4/99! Records Center Rembursable Program Audt of Selected Aspects of Foregn and Domestc Travel 1/7/99! Management Controls Over Change Funds 3/8/ Evaluaton ofnara's Progress on Year 2000 Project 4122/ Revew ofnara Personal Property Management Program 4114/ nventory ofnara Actvtes (FAR Act). 3125/ Revew ofnara's ntermttent Work Force 5/3/ Revew of Contractor Complance wth Government Audtng 4120/99 Standars on NARA Contract No. NAMA-OP Annual Reportng of Real Property Owned 9917 R~rlll()lng NARA Travel Costs : J

14 FY 1998 Audt Reports r Audt Ttle ssue! Rpt No.. Date Revew ofnara's Management Control Program for FY /20/ Revew of Procurement Operatons: nterm Report: Revew of 8113/98 ~ontract Montorng L98-03 Peer Revew of Peace Corps OG 8/3/ Audt of Trust Fund Rembursements to NARA Appropratons 9117/ Evaluaton ofnara's Physcal and Recordkeepng Controls over 8/28/98 Outg o'n 1 g Shlpm en ts of Perman en t R e cord s and A rtru a cts

15 FY 1997 Audt Reports Audt Ttle ssue Rpt No.. Date R-e-v-e-w-o-f-N-ARA--'-s-M-an-a-g-em-en-t-C-o-n-t-ro-l-P-ro-r-am-fj-o-r-F-Y '-;-5-/3-0-/ ; Revew of the Methodology used to Decde Where to Consoldate! 4/28/97 Federal Records Centers Revew ofnara's Procurement 0 eratons and Tranng 9129/07

16 Updated:.July 23, Fle; H:\ WPFllES\AUDlTS\FtNALRPT.96.., ".' Fy1$$j~NAL).\UQtT RE"QRtS November 4, 1995 Revew of NARA's nternal Controls -h~ Pro ram for FY January 11 t 1996 Revew of NARA Lobbyng Actvtes..--1;.(: - February 15, February 29, 1996 Revew of NARA Federally-Funded - ~t- March 20, Educaton Pro rams 9602 November 8, 1995 Revew of the Proposed Archves Renovaton 1-, ~t- May 24, June 1 t Revew of FY FPDS Reportng of Consultng Contracts -bb January 30, Peer.Revew of NE'; OG 96-06

17 , Updated: February 9, 1996 Fle: H: A UD TS/FNALRPT.95 -_._.._..-:::' ::...:-:-:..-:;.;..:..:.:.:::: "....:..-:::.,... ::. FY 1995 FNAL AUDT REPORTS... _- '.'.. ' FNAL REPORT REPORT TTLE AUDTOR-N-CHARGE SSUE DATE NUMBER Revew of NARA's nternal Control Programs for,--~r- February 15, 1995 FY Survey of Cleanng ContractlReductons ~ ~b- February 24, Follow-up Revew of Coper Cost Reducton Efforts --b('- September 29, CASS Tranng ~b6- December 19, 1995

18 , Updated: March 4, 1996 Fle: H:/AUDTS/FNALRPT.94 '.EYtPP4FtNALA,b.fl'Jl.~P:Q8:rS CC,<.',"_,'./ > " '>:, ' FNAL REPORT REPORT TTLE AUDTOR-N-CHARGE SSUE DATE NUMBER Federal Employee Compensaton Act Program ~t{,-- November 17, Revew of NARA's nternal Control Program for - (.- December 30, 1993 FY Survey of Archves Constructon.-"tt- July 21, 1994 Fund Revew of FY 1993 SES Apprasals and the -J-1A~ September 2, 1994 Presdental Lbrary System ~-~

19 FY 1993 Audt Reports Audt Ttle Rpt No M Revew ofnara's Management Control Program for FY M Revew of Comr>lance Wth Restrcton on Lobbyng 93-3-M3 Survey of Complance wth Executve Order Federal Energy Management ssue Date! 12116/ /93 3/31193! Audt. R tn ~p o. FY 1992 Audt Reports Ttle 92-2-M Revew ofnara's Management Control Program for FY M Audt of Grant , Rhode sland State Archves 92-4-M Revew of Complance wth Restrctons on Lobbyng 92-5-M Request for Assstance Regardng Commsson on Grants ssue D ae t /28/92 3/31/92 4/15/92

20 < (copy SUMJ\.lARY OF AUDT REPORTS PROJECTED TO BE SSUED DURNG FSCAL YEAR 1991 Name of Audt Date of Report Audt of Complance wth OMB Crcular A-123, nternal Control Systems (91-101) Audt of Complance wth OMB Crcular A-127, Fnancal Management Systems (91-102) Audt of Rembursable Mcroflmng Servces for Federal Agences (89-601) (DRAFf REPORT - 09/04/90) Audt of Alternatve for Leasng the Pckett Street Faclty (90-501) (DRAFr REPORT - 09/18/90) Revew of Allegaton of an mproper Contractual Payment (90-403) (DRAFf REPORT - 09/24/90) Revew of Procurements Through Blanket Purchase Agreement, Property and Procurement Branch (89-503) Audt of Government Cost Estmates for Federal Records Centers (90-103) (ONGONG) Audt of Chrstopher Columbus Quncentenary Jublee Commsson (90-104) (ONGONG) Audt of Rhode sland Avenue State Archves Program (90-201) Revew Employee Complant Regardng Contracts wth Management Analyss, nc. (90-402) (ONGONG) Revew of Employee Complant Regardng Protest on Securty Guard Servces Solctaton (90-404) of letter sent to GAO n fle) Unemployment Compensaton (91-601)

21 SUMMARY OF AUDT REPORTS SSUED DURNG FSCAL YEAR 1990 Name of Audt Audt of Complance wth OMB Crcular A-123, nternal Control Systems (90-101) Audt of Complance wth OMB Crcular A-127, Fnancal Management Systems (90-102) Use of Mastercards, Natonal Archves, Central Plans, Regon, Kansas Cty, Mssour (90-3) Access Controls over Mltary Servce Records, Natonal Personnel Records Center, St. Lous, Mssour (90-4) Evaluaton of Travel by Groups, Offce of the Federal Records Centers (89-504) Evaluaton of Controls over Keys, Facltes Management Branch, Offce of Management and Admnstraton (89-505) Date of Report 12/26/89 12/26/89 03/13/90 03/13/90 09/19/90 09/19/90

22 SUMl\1ARY OF AUDT REPORTS SSUED DURNG FSCAL YEAR 1989 Name of Audt ndependent A-76 Revew of the Federal Records Centers Revew of NARA's Complance wth OMB Crcular A-127, Fnancal Management Systems Revew of NARA's Complance wth OMB Crcular A-123, nternal Controls Revew of Servce Order System Audt of Operatons of the Md-Atlantc Regon Fnancal Audt of the Natonal Audovsual Center Audt of NARA's nternal Control Revews Date of Report 11/22/88 12/20/88 12/23/88 01/09/89 01/11/89 03/09/89 03/23/89

23 SUMMARY OF AUDT REPORTS SSUED DURNG FSCAL YEAR 1988 Name of Audts Survey of NC nspecton of Records Centers Audt of Selected Aspects of the Frankln D. Roosevelt Lbrary Revew of NARA's Complance wth OMB Crcular No. A-127, Fnancal Management Systems Revew of NARA's nternal Control Program Survey of the Offce of the Federal Regster Audt of NARA's Telecommuncaton Resources Audt of NARA's Long Dstance Calls Observaton of Takng of Physcal nventory by the Publcatons Dvson's Marketng and Fulfllment Branch Audt of Grants Awarded to the Papers of Margaret Sanger Project located at the nsttute for Research n Hstory Revew of Tme and Attendance Recordkeepng Follow-up on Audt Fndngs Audt of Department of Labor Unemployment Payments Audt of the Dwght D. Esenhower Lbrary Date of Report 10/07/87 11/13/87 12/16/87 12/23/87 01/06/88 02/11/88 03/14/88 OS/20/88 06/07/88 07/15/88 08/08/88 08/11/88 09/26/8'<-)

24 SllMMARY OF AUDT REPORTS SSUED DURNG FSCAL YEAR 1987 Name of Audts Audt of Poneer Prnter Fnal Audt Report of Prompt Payment Examnaton of Cashers Operaton Fnal Audt Report of the Natonal Archves, Ft. Worth Branch Fnal Audt Report of the nternal Control Program Fnal Audt Report of NARA's Fnancal Control Program Fnancal Audt Report of Washngton Natonal Records Center (NCW) Occupant Emergency Operatng Plan Fnal Audt Report of the Acquston and Utlzaton of Electrostatc Copyng Equpment Survey of the Purchase of Computer Equpment Fnal Audt Report of the Operaton of the Dplomatc Branch Date of Report 01/07/87 10/02/86 11/05/86 02/11/87 02/12/87 03/05/87 04/09/87 06/29/87 07/13/87 08/26/87

25 SUMMARY OF AUDT REPORTS SSUED DURNG FSCAL YEAR 1986 Name of Audts Date of Report NARA's nternal Control Program 12/18/85 NARA's Fnancal Control Program 01/10/86.. Audtablty Survey of the Museum Store 01/29/86 Revew of the Allegaton Made Regardng Unnecessary Purchase 02/18/86 of the Servce Order System nventory by the Publcatons Dvson 03/13/86 Tme & Attendance Recordkeepng Procedures 04/21/86 John F. Kennedy Lbrary 04/23/86 Fee Schedule at the Natonal Personnel Records Center 09/29/86 " No audt report contaned theren. Just references thereto.