sequestration upon Central Intelligence Agency (CIA) operations and functions, 2013

Transcription

1 Description of document: Request date: Released date: Posted date: Source of document: Records indicating the impact of federal budget sequestration upon Central ntelligence Agency (CA) operations and functions, April June July-2015 nformation and Privacy Coordinator Central ntelligence Agency Washington, D.C Fax: File a FOA Records Request Online The governmentattic.org web site ( the site ) is noncommercial and free to the public. The site and materials made available on the site, such as this file, are for reference only. The governmentattic.org web site and its principals have made every effort to make this information as complete and as accurate as possible, however, there may be mistakes and omissions, both typographical and in content. The governmentattic.org web site and its principals shall have neither liability nor responsibility to any person or entity with respect to any loss or damage caused, or alleged to have been caused, directly or indirectly, by the information provided on the governmentattic.org web site or in this file. The public records published on the site were obtained from government agencies using proper legal channels. Each document is identified as to the source. Any concerns about the contents of the site should be directed to the agency originating the document in question. GovernmentAttic.org is not responsible for the contents of documents published on the website.

2 Central ntelligence Agency W~hington. D.C June 2015 Reference: F This is a final response to your 14 April 2013 Freedom of nformation Act (FOA) request for "a copy of any reasonably retrievable memos, reports, papers or s concerning the impact of sequestration on the agency's Office of the nspector General. limit my request to those records originated in the last twelve months only." We processed your request in accordance with the FOA, 5 U.S.C. 552, as amended, and the CA nformation Act, 50 U.S.C. 431, as amended. Our processing included a search for records as described in our 1 May 2013 acceptance letter. We completed a thorough search for records responsive to your request and located the enclosed five documents, consisting of 103 pages, which we can release in segregable form with deletions made on the basis of FOA exemptions (b)(l),, and/or (b)(5). An explanation of exemptions is also enclosed. Additional material was determined to be currently and properly classified and must be denied in its entirety on the basis of FOA exemptions (b)(l) and. Exemption pertains to information exempt from disclosure by statute. The relevant statutes are Section 6 of the Central ntelligence Agency Act of 1949, as amended, and Section 102A(i)(l) of the National Security Act of 194 7, as amended. As the CA nformation and Privacy Coordinator, am the CA official responsible for this determination. You have the right to appeal this response to the Agency Release Panel, in my care, within 45 days from the date of this letter. Please include the basis of your appeal. Enclosures Sincerely, /ljljj~ Michael Lavergne nformation and Privacy Coordinator

3 C Approved for Release: 2015/06/02 C :SECt<El Office of nspector General Fiscal Year, Mid-Year Status Report 31 March 2013 SUMMARY Statistics on ssued Products (number of products issued): Calendar Year 1 Products Audit Reports nspection Reports Special Review Reports nvestigations: Reports of nvestigation Disposition Memos Matters Completed DOJ Referrals Criminal NA NA Prosecutions Mid- Year Figures for reflect data for that calendar year. 2 Beginning in 2013, the figures will be based on a fiscal year. Since Oct - Dec 2012 are already accounted for in the calendar year 2012 information, the Mid-Year 2013 figures reflect data between 1 January and 31 March Page 1of ECRE'f f --- Approved for Release: 2015/06/02 C

4 C Approved for Release: 2015/06/02 C JE:C!U'.l f /. j Office of nspector General Fiscal Year, Mid-Year Status Report 31March2013 Statistics on ssued Reports (length of time in months): Audit"' nspections nvestigations Start to Draft Final Draft Final Draft Final FY 2013,, CY NA 20.6 CY CY NA NA CY NA NA CY NA NA CY NA NA *excludes Field Station Audits Statistics on Ongoing Projects: Open Audits nspections nvestigations < 271 days > 271 days >365 days > 730 days Total Statistics on Open Recommendations: Open Audits" nspections nvestigations - <271 days > 271 days days > 730 days 55 9 l Total Data is from 1 January - 31 March Of the 194 Open Recommendations, 26 are financial statement audit-related (<271= O; >271 = O; >365 = 3; > 730 = 23) Page 2of14 SECRE1t' Approved for Release: 2015/06/02 C

5 _ C Approved for Release: 2015/06/02 C ~ECKB~ t J Office of nspector General Fiscal Year, Mid-Year Status Report 31 March 2013 Statistics on Congressional nterest: Calendar Y ear 5 Congressional Requests for: OG Reports NA Staff or Member NA Briefings Mid Year STATUS OF WORK PLANS / Audits ~-~ Calendar Completed Year (in order of start date) Award Fee Evaluation Factors and Determinations Ongoing (!!! order of start dat~l- _ - (b )( 1 ) ---r The CA's Management of Laptop! Computers 2012 J - ndependent QualityConfrofReview of - Review of the CA's mproper Payments Disclosure in the FY 2012 Agency Financial Report Financial Audit Services! ).. (b )(1) ( b )( 1 ) - 5 Figures for reflect data for that calendar year. 6 Beginning in 2013, the figures will be based on a fiscal year. Since Oct Dec 2012 are already accounted for in the calendar year 2012 information, the Mid-Year 2013 figures reflect data between 1 January and 31 March Of the 15 report requests, O were standing requests for reports Page 3of14 --~- SECRE'f'~- Approved for Release: 2015/06/02 C

6 C Approved for Release: 2015/06/02 C tsejcf\fj : Office of nspector General Fiscal Year, Mid-Year Status Report 31 March 2013 Calendar Year Completed (in order of start date) Ongoing ---- (in order - of start date) ~l i None i ~ Page 4of14 ~l!:c~l!:'f; Approved for Release: 2015/06/02 C

7 C Approved for Release: 2015/06/02 C ECREl1 Office of nspector General Fiscal Year, Mid-Year Status Report 31 March 2013 Calendar Year Completed (in order of start date) Ongoing (in order of start date) FY 2013 Financial Statements - Security Training for Privileged Users of CA Systems - Evaluation of the mplementation of the Reducing Over-Classification Act ' i J CA' s Conferences and Related Activities Audit - Work Plan Status (Continued) 2013 Work Plan- Deferred to 2014 None 2013 Work Plan- Dropped: The Audit Staff was unable to conduct the following field audits due to sequestration: Page 5of14 SECREft Approved for Release: 2015/06/02 C

8 C Approved for Release: 2015/06/02 C !5?!:C~l!:l 7[_ H J Office of nspector General Fiscal Year, Mid-Year Status Report 31March2013 nspections Calendar Year/Fiscal Completed Ongoing Year (i11_~r_cl~ro[st~rt d_~ (in or<!er of start date) (i i. -j i i Work Plan - Deferred to 2014 Work Plan: Work Plan - Dropped: None Page 6of14 8ECRE'f'11 1 Approved for Release: 2015/06/02 C

9 -~ C Approved for Release: 2015/06/02 C _ ~l!:ctuo::'fl ~ - Office of nspector General Fiscal Year, Mid-Year Status Report 31 March 2013 TMELNES FOR AUDT REPORTS SSUED JANUARY - MARCH 2013 Time Elapsed, Final Start to Draft ssued Draft Audit Start Date ssue Date (months) Date Award Fee Evaluation Factors and Determinations The CA' s Management of Laptop Computers 12/14/ /28/ /7/2013 6/27 /2011 1/3/ /29/2013 5/1/ /24/ /20/2013 Review of the CA' s mproper Payments Disclosure in the FY 11/27/2012 2/7/ /15/ Agency Financial Report AVERAGE TME To Date 12.7 " AVERAGE TME (without field stations) 14.9 AVERAGE TME AVERAGE TME~ 2011 (without field stations) 10.0 AVERAGE TME AVERAGE TME (without field stations) 14.4 AVERAGE TME AVERAGE TME (without field stations) 10.1 AVERAGE TME (without field stations) 10.1 AVERAGE TME AVERAGE TME Time Elapsed, Start to Final (months) (b)(1) Page 7of14 SBCRB~ - u- Approved for Release: 2015/06/02 C

10 C Approved for Release: 2015/06/02 C ~~CR~T~ ] Office of nspector General Fiscal Year, Mid-Year Status Report 31 March 2013 TMELNES FOR NSPECTON REPORTS SSUED JANUARY - MARCH 2013 Start Draft nspection Date ssue Date 9/6/2011 8/9/2012 Time Elapsed, Start to Draft (months) Final ssued Date Time Elapsed, Start to Final (months) 2/11/ /5/ /20/ /28/ /5/ /20/ /28/ /5/ /20/2012 \ /28/ AVERAGE TME (To Date) AVERAGE TME AVERAGE TME A VERA GE TME AVERAGE TME AVERAGE TME AVERAGE TME Page 8of14 SEiCREi'Y'i1 Approved for Release: 2015/06/02 C

11 ~- C Approved for Release: 2015/06/02 C ULiUHLi'±'L_ j Office of nspector General Fiscal Year, Mid-Year Status Report 31 March 2013 TMELNES FOR NVESTGATON REPORTS SSUED JANUARY - MARCH 2013 Draft ssue nvestigation Start Date Date (U) Conflict of nterest - Gifts and Gratuities NA Time Elapsed, Start to Draft (months) NA Final ssued Date Time Elapsed, Start to Final (months) (U) Misrepresentation of Academic Credentials by a Technical ntelligence Officer NA (U) Waste of Funds for Telecommunications Services NA G (U) Conversion of Government Propert:y For Personal Gain 4/11/2011 NA (V~_ --~Shortage of Offi ial_eund fil ~n Overseas Basd (UllF.,OOOfAlleged Violation of CA-Unique Post ~m_qloymej!!ur~trictions 1-! NA NA NA NA NA NA NA /11/ / \ ~ - r-1 J~ rpotential Missing L_J - loatal -l NA NA (~l(,~b) (b)\~)(3) (U~Alleged Assault Overseas NA AVERAGE TME (To Date) A VERA GE TME AVERAGE TME AVERAGE TME AVERAGE TME NA NA NA NA NA NA NA Page 9of14 SEC RE'!' Approved for Release: 2015/06/02 C

12 C Approved for Release: 2015/06/02 C SECRETL J Office of nspector General Fiscal Year, Mid-Year Status Report 31 March 2013 AVERAGE TME AVERAGE TME NA NA NA NA STATUS OF OPEN RECOMMENDATONS CY 2005 Recommendations Audit NS NV ssued Accepted bv Manaeement mplemented and Closed mplementation in Process Closed without mplementation %of Total Recs % % 1 1% 10 5% CY 2006 Recommendations Audit NS NV ssued Accepted bv Manaeement mplemented and Closed mplementation in Process Closed without molementation Total % of Recs % % 2 1% 5 3% CY 2007 Recommendations Audit NS NV ssued Accepted by Management mplemented and Closed mplementation in Process \ Closed without mplementation Total % of Recs % % 5 3% 8 5% CY 2008 Recommendations Audit NS NV ssued Accepted by Management mplemented and Closed mplementation in Process Closed without mplementation 9 0 l Total % of Recs % % 4 3% 10 7% Page 10of14 ~ Approved for Release: 2015/06/02 C

13 C Approved for Release: 2015/06/02 C ~- J Office of nspector General Fiscal Year, Mid-Year Status Report 31 March 2013 CY 2009 Recommendations Audit NS NV ssued Accepted by Management mplemented and Closed mplementation in Process Closed without mplementation Total % of Recs % % 22 13% 0 0% CY 2010 Recommendations Audit NS NV ssued Accepted by Management mplemented and Closed mplementation in Process Closed without mplementation Total % of Recs % % 21 16% 0 0% Total 2011 Recommendations Audit NS NV ssued Accepted by Management mplemented and Closed mplementation in Process Closed without mplementation Total % of Recs i06 100% % 56 27% 0 0% Total 2012 Recommendations Audit NS NV ssued Accepted by Management mplemented and Closed mplementation in Process Closed without mplementation Total % of Recs % 81 42% % 0 0% Page 11of14 ~E:ClO?:E:'f/1- -, Approved for Release: 2015/06/02 C

14 C Approved for Release: 2015/06/02 C OECRE~1 Office of nspector General Fiscal Year, Mid-Year Status Report 31 March 2013 Mid-Year 2013 Recommendations Audit NS NV ssued Accepted by Management mplemented and Closed Total % of Recs - 100% 18% mplementation in Process % Closed without mplementation % OG DVERSTY DATA* Number of Employees _ A_gdit_l NS NV R&A FO Male Female Total Male/Female% Total QJ~_ - %of %of OG CA** 37% 55% 63% 45% Minorities Hispanic or Latino Black or African American Asian, Native American, or Pacific slander 2 or more races Total % of Staff with Minority Status 28% 8% 13% s4% 43% % 5% 13% 10% 8% 5% 2% 1% 26% 22% - - Page 12of14 ~ECRE'fr Approved for Release: 2015/06/02 C

15 C Approved for Release: 2015/06/02 C !:CR':T1 Pu_J Office of nspector General Fiscal Year, Mid-Year Status Report 31 March 2013 ARRVALS AND DEPARTURES OF FULL TME EMPLOYEES* Audit NS NV R&A FO Total Arrivals: - - EOD Reassignment Detail n Total New Employees Departures: Retired Resigned Reassignment outside ofog Total Departing Employees ARRVALS AND DEPARTURES - OG Careerists Only* Arrivals: EOD! Conversion to OG! Total New Employees, Departures: Retired Resigned Career Service Change! Currently On Extended Leave Total Departing Employees i Currently on Detail i Audit NS NV R&A FO Total Currentl on Rotation * Sourcej Jand - j! i % ofog Positions** 1.6 /o 5.6% 7.2% 0% 0% 0% 1.6% 1.6% 2.2% 6 /o Page 13of 14 SSGRJ;:T Approved for Release: 2015/06/02 C

16 ~- C Approved for Release: 2015/06/02 C SECKJ!: 1 L ~ Office of nspector General Fiscal Year, Mid-Year Status Report 31 March 2013 JONT DUTY CREDT - OG Careerists Only* A i BelowGS-15 GS-15 SS Total Source: --' ~-EO_ STAFF MEMBERS HOLDNG PROFESSONAL CERTFCATONS Certification Certified Public Accountant Certified nternal Auditor Certified Fraud Examiner Certified nformation Systems Auditor Computer Forensics Examiner COTR (Level or ) Program Management Certification Forensic Accountant Lawyer Certified Government Financial Manager Certified in Financial Forensics Certified nformation Technology Professional Certified nformation System Security Professional --- -, Audit NS NV Total Tert1f1edBuslness Manager - Certified Associate Business Continuity Professional Source ~---~ Page 14of14 ~gcreij 1 Approved for Release: 2015/06/02 C

17 C Approved for Release: 2015/06/02 C ~--~-~-q-_u_e!sequestration and its impact o-nrut:ure b~-dgets~o!!ll wlttiole?s already smatr pr_e~ ~-tr-at~ioc=jbudget will make it very difficult t ~~~this workf r-h- J Approved for Release: 2015/06/02 C

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23 C Approved for Release: 2015/06/08 C April 5, 2013 (U) We are funded under a Continuing Resolution for the rest of the fiscal year. The Agency has not yet received guidance from OMB on sequestration impact. As such, we do not know yet what our budget will be for the remainder ofthis fiscal year. We will be able to allow mission essential travel and will approve training that is required for you to fulfill your mandatory employment requirements. [This was further discussed at the G fv!_a!l-~er's Meeting on Thursday. Please see you{. ~fyou have any questions about training requ1rerrients.] L J 1 Approved for Release: 2015/06/08 C

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25 ~ ~ C Approved for Release: 2015/06/02 C April 23, ~ (U) OG Awards (U) First, some very good news. The Agency has determined that EPAs submitted prior to the start of sequestration can and should be paid. We were initially told that the payment of our recent EPAs was prevented by sequestration-related guidance from OMB. However, working with our component HR officers, the G Counsel and the:: pursued this issue rigorously with the Agency and discovered that monetary EPAs approved before sequestration can be paid. (U) The Career Service Panel is working with the }n: a new OG award program. Keep up the great work because 've directed managers to continue to recognize and reward outstanding effort and results. L_ (U) Career Service Panel News (U) The Career Service Panel (CSP) convened to address a host of issues. First and foremost was the issue of Exceptional Performance Awards (EPAs) and a plan for addr~ssing EPAs in the future, if sequestration guidance curtailing such remains in place. The CSP worked out some alternative solutions for next year and the proposed plan will be briefed to the G shortly. (U) The Panel also discussed the issue of our participation in various existing awards programs. The Panel agreed that this OG should participate in both the Council of nspectors General on ntegrity and Efficient (CGE) and the ntelligence Community (C) awards. t also agreed to the _concept presently ll_l!<!~r study by thl J to build an internal OG awards program. Tnedetails on this concept are 1-1 i L --- being worked out by th~nd the CSP is anxious to move forward with the new idea. (U) Finally, the CSP discussed the Agency's roll-out of the Career Development Conversation initiative for this year. The CSP stressed the importance of providing meaningful Career Development Conversations and that the OG would like to have a 100% completion of the CD Cs by August. 1 Approved for Release: 2015/06/02 C

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29 Printed versions of this report are not available * * * * --t1tse'~smrt+t ---J

30 (U) A MESSAGE FROM THE NSPECTOR GENERAL * * (U) am honored to serve as the nspector General at the Central ntelligence Agency and pleased to provide this summary of the reports and activities of the Office of nspector General, Central ntelligence Agency for the period 1 January - 31 March The OG provides independent, objective oversight of CA activities and provides its reports and recommendations to the Director, CA and his senior management team for information and action. CU) MPACT OF BUDGET SEQUESTRATON -fe rthe Office of nspector General is adversely affected by the 1 March 2013 Sequestration Order for Fiscal Year Our ability to fully execute our 2013 Work Plan is in doubt. During this reporting period, the scheduled audits of------~ere cancelled due to lack of travel funds. CU) MPACT OF THE LACK OF CERTAN PERSONNEL AUTHORTES (~s have reported in previous Semiannual reports, my ability to properly represent the interests of the CA in federal criminal investigations is constrained by the lack of personnel authorities enjoyed by other federal nspectors General. The full US House of Representatives and the US Senate Select Committee on ntelligence voted to approve our request for certain personnel authorities, but the provision was not sustained in the conference for the FY 2013 ntelligence Authorization Act. As a result, several investigators selected for employment by my office withdrew their applications. continue to seek legislative action to 1 (U) The ntelligence Authorization Act for FY 2013 amended the CA Act (50 USC 403q) changing our semiannual reporting requirement from the calendar year to the fiscal year. * * provide the requested authority, which was included in the administrations FY 2013 request and we anticipate will be included in this years submission (See page 13). (U) G RECOMMENDATONS FOR MPROVEMENT; AGENCY COMMTMENT (U/~ The OG strives to be an agent of positive change by providing the results of our independent and objective oversight of the CA to CA leadership. Director Brennan and his senior staff take our_ recommendations for improvements very seriously. We began this reporting period with 179 outstanding significant recommendations, added 19 new recommendations, and the CA took action leading the OG to close 14 recommendations (See page 29 Status of Significant Recommended Actions). During the conduct of our work, we identified issues that were corrected by the CA prior to the issuance of the final report. mplementation of corrective action is sometimes complex and costly, and we work to identify practic.al solutions to the issues we surface in our work. (U) AUDTS, NSPECTONS, AND REVEWS,----- \ j (U) NVESTGATONS (U/~We reported six instances of potential criminal activity to the Department of Justice (OOJ), as required by statute. There were two criminal indictments and two convictions based on investigative activities during i J ( b )( 1) i SESRE~!

31 this reporting period. n addition, an officer resigned, following an OG recommendation for administrative action. Based on a civil fraud allegation made by a former employee of a contractor, we investigated the solicitation and receipt of prohibited gratuities by Agency employees and contractor employees on a particular contract. The CA placed the accused employees on administrative leave pending completion of the investigation, and[m u- m. ] settled a civil false claim with the DOJL Other significant cases completed during this period include alleged theft and waste of funds, conflict of interest, and assault (see page 23). (U) COLLABORATON (U) Our interaction and collaboration with other offices of nspectors General continues to be strong. We participate fully in the statutory ntelligence Community nspectors General Forum and the federal Council of nspectors General on ntegrity and Efficiency. (LJ) The Office of nspector General welcomes The Honorable John Brennan as the 21st Director of the Central ntelligence Agency, and looks forward to working with him. L ~ David B. Buckley nspector General 30 April 2013

32 \ C seerrn d TABLE OF CONTENTS * * * * (U) A MESSAGE FROM THE NSPECTOR GENERAL (U) OVERVEW (U) Mission (U)Values (U)Vision ( U) Diversity ( U) The OG Organization (UJ The OG Staffs (UJ Community nteraction (U) Areas of mpact (U) PLANNNG ~ (U) Strategic Planning (Ul Annual Planning (U) STATUTORY REPORTNG (UJ Compliance (Ul Peer Review CUJ Access (UJ Subpoena Authorities (U) AUTHORTES (Ul Authority to Designate Positions as Law Enforcement Officer Positions (U) Authority to Exercise Law Enforcement Powers (U) PROJECTS " (U) Audit Staff (UJ Completed Projects... : (Ul Ongoing Audits and Assessments {U) nspection Staff (Ul Completed Projects (Ul Ongoing nspections (UJ nvestigations Staff CU l Completed Proiects (U) Prosecutions (U) Civil Action (U) Hotline (U) STATUS OF SGNFCANT RECOMMENDED ACTONS OUTSTANDNG FROM PREVOUS SEMANNUAL REPORTS (U) Table l - Status of Significant Recommended Actions: Audits (U) Table 2 Status of Significant Recommended Actions: nspections (U) Table 3 Status of Significant Recommended Actions: Assessments (U) Table 4 Status of Significant Recommended Actions: nvestigations }ANUARY - MARCH 2013 ~~~ ddl l *

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34 (U) OVERVEW (U) MSSON * * * * (U) VSON (U) The Office of nspector General promotes economy, efficiency, effectiveness, and accountability in the management of CA activities by performing independent audits, inspections, investigations, and reviews of CA programs and operations. We also. seek to detect and deter fraud, waste, abuse, and mismanagement. We advance the Agency's mission by providing our findings and recommendations expeditiously to the Director, the Agency, and the Congressional intelligence committees. (U) The Office of nspector,general is a trusted and respected resource for the Director, the Agency, and the Congress, and our work has a positive impact on CA's mission. (U) DVERSTY CU) Diversity is integral to our mission success. We promote diversity by creating a culture that is professional, supportive, inclusive, and innovative. (U) VALUES (U) We are an organization of diverse professionals dedicated to: (U) We value a diverse workforce and, therefore, are dedicated to recruiting, developing, and retaining qualified individuals who bring a variety of experiences, backgrounds, and skills. ntegrity - Making decisions on the merits of every matter without regard to undue influence or favor. Professionalism - Holding ourselves to the highest standards of accountability and independence and ensuring that our findings are accurate, objective, and timely, and our recommendations relevant, reasonable, fact based, and fair. Expertise - Developing and leveraging individual and collective skills and experiences. (U) We are committed to maintaining a positive, equitable, and productive work environment where all employees-and their diverse thoughts and opinions-are welcomed, respected, and valued. JANUARY - MARCH *

35 CU) THE OG ORGANZATON i J DAVD B. BUCKLEY lnsppctor Se,101, 1 3: w > c::: w > 0 This chart is UNCLASSFEO//FOUO. (U) THE OG STAFFS (U) Audit Staff CUU~The Audit Stad- ~-----~' conducts performance and financial audits of CA programs and activities, including those audits that have been mandated by the Congress, such as the annual independent audit of the CA's financial statements, the annual independent evaluation of the CA's information security program and practices required by the Federal nformation Security Management Act (FSMA), the annual review of the Agency's compliance with the mproper Payments Elimination and Recovery Act (PERA), and periodic audits ---- rn ~he Audit Staff also participates with other federal agencies and departments to conduct joint reviews of ntelligence Community programs and activities. (U) nspection Staff {U//~he nspection Staff is largely composed of senior Agency managers and officers, many of whom are on rotation to the OG. The nspection Staff strives for balanced staffing by skill set and directorate representation. The nspection Staff is responsible for conducting inspections of CA programs to evaluate mission performance and effectiveness. The Staff assesses major, crosscutting Agency issues to examine whether they are being managed (b)(1) * 6 DG SEMANNUAL REPORT

36 SEeRH1 r-~--- effectively, efficiently, and in compliance with laws, Executive Orders, and regulations. The nspection Staff is currently refining the inspection process and staffing model by sharpening the focus of program inspections, streamlining the inspection process and resultant products, and has achieved greater balance between permanent and rotational inspectors. (U) nvestigations Staff {U//~) The nvestigations Staff conducts investigations of alleged violations of federal laws, regulations, and policies, as well as alleged waste, fraud, and mismanagement related to programs and operations at the CA. nvestigators are assigned to specialized divisions focusing on financial, intelligence, and integrity allegations, as well as whistleblower reprisals, special reviews, and certain leak investigations. The nvestigations Staff also the CA OG Hotline (U) Resources and Administration (U/~ The nspector General is a statutory member of the Council of the nspectors General on ntegrity and Efficiency (CGE) and the ntelligence Community (C) nspectors General (G) Forum. The G actively participates in CGE meetings_ and is a member of the CGE Legislative Committee. (U) OG senior managers participate in C nspectors General Forums to include the Deputy nspectors General Forum, the C nspectors General Forum's nspections Working Group, the C Audit Committee, and the C G Counsels Working Group. (U//~The Assistant G for Audit and the Deputy AG for Audit participate in the quarterly meetings of the C Audit Committee. Participants at these meetings discuss ongoing and planned audits from each of their respective staffs, sharing lessons learned and techniques used to audit the challenging and unique issue areas facing the C. Also, the Committee coordinates on future Community audits discussing audit approaches and staffing. We detailed three auditors to the Office of the nspector General of the ntelligence Community to assist the C G in the audit of the financial statements of the Office of the Director of National ntelligence. (U/~ The Assistant nspector General for nspection coordinated with his National Security Agency counterpart regarding participation in a joint inspection planned for later in calendar year 2013 and another joint inspection which is being deferred until calendar year 2014 due to the impacts from sequestration. (U) COMMUNTY NTERACTON ( U//~The OG actively participates in a wide range of coordination and collaboration activities designed to increase our knowledge of and contribution to oversight within the Federal Government. (U/~ The nvestigations Staff continued its outreach with law enforcement agencies and other O!Gs throughout the Federal Government. i The Staff worked closely with the DOJ in supporting a number of criminal prosecutions and proceedings. JANUARY MARCH2013 SESRETj 7 *

37 SEeRE,n-= :;:: LU (Li) The nvestigations Staff participated as a member of the DoD Procurement Fraud Working Group. The Acting Deputy AG for nvestigations chairs the CGE Assistant nspector General for nvestigations Committee, which includes AGs for nvestigations from throughout the Federal Government. ~ (U) AREAS OF MPACT > 0 (U~ During this reporting period, the OG concluded audit and inspection work in areas that we considered lo be the must significant to the CA: Collection and analysis. Financial management and administration. General administration. nformation management and technology. Procurement and contracting. (Li) Summaries of this work are included on pages 15 and 28. * 8 OG SEMANNUAL REPORT

38 (U) STRATEGC PLANNNG (U) The OG has four strategic goals:, si!'f'r: C""R e!'l'jq (U) PLANNNG * * 1. Execute timely, objective, and result-driven work to improve the overall mission performance of the Agency. 2. Maximize our value to the Agency, the Congress, and the American public. 3. Attract, develop, and retain a diverse and highly skilled cadre of professional OG officers. 4. Provide strong business management that maximizes facilities, budget, and technology and allows OG officers to respond optimally to mission needs. (U) Specific and achievable obiectives have been developed that are designed to support each of the four goals within the Strategic Plan. Whereas the goals focus on support to the greater Agency mission, their subordinate objectives reflect desired achievements that, for the most part, crosscut the OG mission functions of audits, inspections, and investigations. (U) The OG is developing an internal performance management process that links organizational performance at fundamental working levels to achieving the stated goals. Quantifiable performance measures at these levels reflect actual activities, results, and outcomes within each OG mission function. They are designed to support the objectives under each goal, thereby linking the results and outcomes of OG audits, inspections, and * * investigations to achieving the goals within the Strategic Plan. (U) ANNUAL PLANNNG (U) n December the OG published to the Agency our work plan for audits and inspections to be carried out during CY We believe that this plan provides broad coverage of the Agency's programs, components, and activities, and is designed to focus our efforts on issues of continuing importance to the Agency's 'mission. (LJ) The OG received input for the CY 2013 work plan from several sources to include the Acting Director, CA; the Executive Director, CA; and component directors. n addition, we considered topics that the intelligence oversight committees have identified as topics of interest. (U) n CY 2013, the OG is focusing our efforts on improving efficiency and effectiveness 1n critical areas for the CA, such as: Collection and analysis. [ ~ nformation management arid Technology. Financial management and administration. Procurement and contracting. General administration. Workforce management. (U) As of 31 March 2013, the OG has begun work on 35 percent of the current year's Work Plan. The OG has completed 30 percent of the CY 2012 Work Plan. JANUARY - MARCH *

39 (b }(3} THS PAGE NTENTONALLY LEFT BLANK. * O OG SEMANNUAL REPORT SESREf, 1 L.... ;

40 (U) STATUTORY REPORTNG * * (U) This report is submitted pursuant to Section 17 of the CA Act of 1949, as amended, which requires the nspector General to provide to the Director, CA, a semiannual report summarizing the activities of the Office of nspector General for the immediately preceding six-month period. ncluded in the FY 2013 ntelligence Authorization Act is a requirement to change the semiannual reporting period from calendar year to fiscal year. As a result, this is an abbreviated reporting period (1 January - 31 March) Future semiannual reports will cover six-month periods ending 30 September and 31 March. * * (U) PEER REVEW (U) Audit Staff (U//~ Under generally accepted government auditing standards, OG audit functions must have an external peer review at least every three years. On 30 March 2011, the National Reconnaissance Office OG issued its internal quality control review of the Audit Staff that covered the period ended 31 December The Audit Staff received a peer review rating of pass. There were no formal recommendations from this peer review. (U) COMPLANCE (U) ACCESS (U) All OG audit activities are conducted in accordance with generally accepted government auditing standards. All OG inspection and investigation activities conform to standards adopted by the Council of the nspectors General on ntegrity and Efficiency. (U) The OG has had full and direct access to all Agency information relevant to the performance of its duties. (U) SUBPOENA AUTHORTES (U//~uring this reporting period, the G did not issue any subpoenas. JANUARY - MARCH *

41 THS PAGE NTENTONALLY LEFT BLANK. * 12 OG SEMANNUAL REPORT

42 SEGRE~ AUTHORTES * * (U) AUTHORTY TO DESGNATE POSTONS AS LAW ENFORCEMENT OFFCER POSTONS (LJ//F~ n May 2011, the G wrote to the Chairman and Vice Chairman of the Senate Select Committee on ntelligence (SSC) informing them of the need for him to have the authority to designate certain positions within the Office of nspector General as law enforcement officer positions for purposes of determining retirement eligibility and benefits. This authority is necessary in order to recruit and retain experienced criminal investigators and is the same authority available to all Title 5 nspectors General and the Government Accountability Office. The same month, the G submitted a legislative proposal seeking authority to designate positions within the OG as law enforcement positions for retirement _purposes to the Office of Management and Budget (OMB) through the Director of the Central ntelligence Agency and the Office of the Director of National ntelligence (ODN). The proposals were not part of the Administration's FY 2012 ntelligence Authorization Bill. However, the Congress did request that the OPM G conduct a review of the GA OG's personnel practices and policies to identify any barriers to recruitment and retention. The OPM G submitted the results of the study in June The OPM G study supported the need for the CA G to have such authority. (LJ) n March 2012, the G submitted a similar legislative proposal to OMB through the Director, CA and the ODN. This proposal was supported by the Director. CA and the Director of National ntelligence and included in the Administration's FY 2013 ntelligence Authorization Bill. The House Permanent Select Committee on ntelligence (HPSC) approved authority * * for the CA G and the ntelligence Community G (C G) to have the authority to designate certain positions as law enforcement officer positions for purposes of determining retirement eligibility and benefits. The House of Representatives approved the legislation. The SSC included similar authority in its draft FY 2013 ntelligence Authorization Act. Disappointingly, during conferencing to resolve differences between the SSC and HPSC versions of the ntelligence Authorization Act, the authorities for the CA G and C G to make such designations were removed. t is the intent of the G to continue to pursue obtaining the ability to have positions within OG qualify for law enforcement retirement benefits as this is a key initiative in his efforts to improve upon the criminal investigative capabilities of the OG. The absence of these capabilities has seriously impeded the G's efforts to improve OG's ability to identify and thoroughly investigate instances of criminal fraud across the programs and operations of the Agency. (U) AUTHORTY TO EXERCSE LAW ENFORCEMENT POWERS (U/~ n the May 2011 letter to the SSC! Chairman and Vice Chairman, the G also identified the need for law enforcement powers. T_he CA G and the C G are the only presidentially appointed, Senate- confirmed inspectors general without such powers. And, like most other federal statutory offices of inspector general, the preponderance of investigations undertaken by the CA OG involve allegations of violations of federal criminal statutes. n May 2011, the G submitted to the Director of the CA an FY 2012 ntelligence Authorization Act JANUARY - MARCH *

43 legislative proposal to authorize the G, and those members of the DG designated by the G, to exercise specified law enforcement powers: to carry firearms, to seek and execute search and arrest warrants, and to make warrantless arrests under certain specified conditions. The law enforcement powers could only be exercised in furtherance of the performance of the G's duties and responsibilities. This proposal was not included in the CA's proposed legislation package submitted to the DDN and OMB. (U//~ As the authority to identify certain positions as law enforcement officer positions was the higher priority of the two important initiatives, a law enforcement powers proposal was not submitted for the FY 2013 or FY 2014 legislation. However, such powers are critical to the mission of the <;:A DG and the need for such was supported by the OPM lg study. During the period of this Semiannual Report, the nvestigations Staff continued to be dependent on federal agencies with law enforcement powers to perform investigative tasks that special agents for other OG's with similar missions routinely perform themselves, such as serving as affiants for warrants and criminal complaints. The CA DGs dependency on other federal agencies not only impedes our investigative work, but in a recent case created an untenable situation where classified CA information was put at risk. (U) The G will continue to work with the Director, the intelligence committees, and other interested parties to obtain the necessary authorities to fully perform his statutory role and responsibilities in an effective and efficient manner. * 14 &ESRET!i OG SEMANNUAL REPORT '~~

44 (U) PROJECTS (U} AUDT STAFF * * * (U) COMPLETED PROJECTS (U//~ As summarized below, the Audit Staff completed four audits containing 11 recommendations to strengthen internal controls over financial management, information management, contracting, and field sites. (Ul During this reporting period, Audit Staff members also concluded their participation in the C Security Reciprocity audit. Summaries of completed projects are included on pages 15 through 28. AREA OF FOCUS PROJECT NAME PROJECT SSUE NUMBER DATE (U) Financial Management and Administration (U) Review of the CA's Compliance with the mproper Payments Elimination and Recovery Act (!PERA) of March 2013 (U) nformation Management and Technology (U) Procurement and Contracting (U) CA's Management of Laptop Computers {U//FOUO) Contract Award Fee Evaluation Factors and Determinations March 2013 March 2013 (U) Field Sites February 2013 This table is~ i (U) FY 2012 Review of the Central ntelligence Agency's Compliance with the mproper Payments Elimination And Recovery Act (PERA) of 2010 March 2013) j JANUARY - MARCH *

45 SECREr ] l (b)(s) L J (U) CA Management of Laptop Computers March 2013) (b)(s) * 16 DG SEMANNUAL REPORT

46 SESREfl (b)(5) (U) Contract Award Fee Evaluation Factors and Determinations [---~- _JMarch 2013) JANUARY - MARCH *

47 8E6REfl (b)(5) jc;~u~its of Field Sites (January- March 2013) (b)(5) J * 18 OG SEMANNUAL REPORT SESRET.

48 ~-- C (U) ONGONG AUDTS AND REVEWS ~ ~~nformation Management and Technology: Availability and Performance of CA nformation Systems [, ~ Security Training for Privileged Users of CA Systems ( b )( 1 ) ' i ~! (b)(1) (UllFDYal General Administration: L -- Evaluation of the mplementation of the Reducing Over-Classification Act CA's Conferences and Related Activities ~orkforce Management: Assessment of CA Staffing Requirements ~ ~(bi3) (b)(1) (b)(3 * (U) Draft report issued. JANUARY - MARCH 2013 ~!SRE1 19 * -- --

49 SEeRET --_--j (U) NSPECTON STAFF H1ULCDMPLETED PROJECTS ----l ---1: (b)(s) (b)(1) rmsmm~ S~te-;~~ (b)(s) en > u LU 3 "" c.. * 20 SESREl OG SEMANNUAL REPORT J --,

50 (b}(1) (b)(5) JANUARY - MARCH ~--- SESRE~ - 21 *

51 (b){3) (b)(s) r _''"" (Ul_ONGON~ N~PECTONS ( b )( 1 ) (U) General Administration: Management of Cornpartrnentation* (U) nformation Management and Technology: Electronfc Records Management* (U) Workforce Management: Agency Management of Human Resources* ====~======~=====J *(U) Draft report issued. * 22 DG SEMANNUAL REPORT J

52 ---_] (U) NVESTGATONS STAFF (U) COMPLETED PROJECTS ~) The nvestigations Staff completed 18 investigations during this period. The Staff also worked with the Department of Justice (DOJ) in support of two indictments, two convictions, and one civil action. n addition, the OG formally referred six matters to the DOJ for prosecutorial consideration of violations of federal criminal law. As a result of the nvestigations Staff's effort :in recoveries were ordered by Federal Courts on behalf of the US Government. n addition, an Agency officer resigned following an OG recommendation for administrative action. (U) Allegation of a Stolen CA Pistol* (U) Former Agency Officer Alleges Retaliation for Protected Disclosures* (U) Former Agency Officer Alleges Violation of Uniformed Services Employment and Reemployment Rights Act* (U) Misrepresentation of Academic Credentials by a Technical ntelligence Officer (U) Misuse of Government Systems for Database Searches* (U) Waste of Funds for Telecommunications Services (U) Conversion of Government Property for Personal Gain (U) Alleged Ethics and Other Conduct ssues Regarding Technical Officer* {U//~ Alleged Violation of CA-Unique Post Employment Restrictions {U//~Agency Contractor Alleged Reprisal for Whistleblowing* (U) Misuse of Position* ~isuseof ~ ~ ~potential MissingL_ L ]Data - {U/~ Alleged Assault Overseas (U) Misrepresentation of Academic Credentials* March 2013 March 2013 March 2013 February 2013 February 2013 February 2013 February 2013 February 2013 February 2013 February 2013 February 2013 January 2013 January 2013 January 2013 January 2013 ~~~~~~ (b)l {E)(3,.,, c; -< en *(LJ) These investigations resulted in a closing memorandum to the file because the allegations were either not proven or the subjects have no current affiliation with the CA. JANUARY - MARCH 2013,----- ~ _J 23 *

53 ~SE::P.eR~E'l'f-~ J TABLE: NVESTGATONS STAFF COMPLETED PROJECTS (CONT.) COMPLETED NVESTGATONS (U/~Misrepresentation of Academic Credentials and False Statements by a Telecommunications nformation Systems Officer* (Li) Conflict of nterest - Gifts and Gratuities (U) SELECT REPORTS OF NVESTGATON (LJ) This section summarizes significant investigations that have resulted in prosecutive actions or recommendations to Agency management for individual accountability or systemic improvements. CASE NUMBER SSUE DATE ~i January 2013 l 1Joococy2~ _- This table 13 SEGt?d~--- (b)(5) (U/~-- fhortage of Official Funds at Overseas Base March 2013) (U/JSetl"lf) Misrepresentation of Academic Credentials by a Technical ntelligence Officer [ ]February 2013) (b)(5) (b)(5) (b)(5) (U~ Shortage of Official Funds at Overseas Base }iarch 2013) l- "'... e...> a a:: ll.. (U) Waste of Funds for Telecommunications Services ebruary 2013) ( b )( 1 ) (U) These investigations resulted in a closing memoranda to the file because the allegations were either not proven or the subjects have no current affiliation with the CA. * 24 ~-- DG SEMANNUAL REPORT

54 (b)( 1) (b)(s~-- ' (b)(s) CU) Conversion of Government Property for Personal Use - ifebruary 2013) Data (b) 5 L ---- CU/ll9tt1JfAlleged Violation of CA-Unique Post Employment Restrictions February 2013) L JANUARY - MARCH 2013 ~-- i J 25 *

55 j C mttd ----! ' (b)(5) (~lleged Assault Overseas jjanuary 2013) (U) PROSECUTONS (U/~lleged Extortion by Agency Officer [~ -] (U) Conflict of nterest - Gifts and Gratuities --- -~anuary 2013) ---- (b)(5) (U) Former Employees of Agency Contractor Guilty of Federal Firearms License Violations l=--- -~----,- -- l * 26 OG SEMANNUAL REPORT

56 nr~rj --- ~---- i -._J (U~Destruction of Government Property in a Vehicular HomicideL ] ' (U) CVL ACTON (U) Alleged False Claims Act Violation JANUARY - MARCH 2013 ~ ~-- 27 *

57 SEBRE~ L (U) HOTLNE w{ -lis responsible f_()r the OG Hotline and complaint processing. Thel provides a L ; confidential and reliable source for Agency employees, contractors, and the public to report fraud, waste, and abuse. (U) During the period of 1 January - 31 March 2013, the 1 1 Jeceived 129 contacts from the Agency and the general public (see Figure ]). The OG categorized the 129 contacts into 9 categories (see Figure 2). The OG then processed the contacts according to the nature of the complaints (see Figure 3). (U) FGURE 1: Methods of Contacts Received by OG (Number of Contacts, Percentage) 11 Contacts. 8% Other Govern men! Agencies~ 1% \ Other CA Offices for Action 13% (U) FGURE 3: Processed Contacts (Percentage) Pending Assignment 8% Secure Electronic Methods Mail 49 Contacts. 38% DG R eferra s J from OGA's 8 Contacts, 6% L Other l Contacts, 1 % Figure 1 is UNCLASSFED. Office of Security - Non-Credible Complaints 43% Figure 3 is UNCLASSFED. CU) FGURE 2: Categories of Contacts Received (Number of Contacts) EMPLOYEE TME & ATENDANCE NTERNAL MSCONDUCT MAJOR CRME MANAGEMENT SSUES OGAREQUEST FOR SUPPORT OTHER SUTABLTY NON-CREDBLE COMPLANTS Figure 2 is UNCLASSFED. * 28 SECft1 DG SEMANNUAL REPORT ----

58 --i ---' (U) STATUS OF SGNFCANT RECOMMENDED ACTONS (U) OUTSTANDNG FROM PREVOUS SEMANNUAL REPORTS,- - (U) As required by statute, the following tables present the status of significant recommended actions outstanding from previous semiannual reports. The reports are presented in order of issuance date from most recent to oldest. The tables also present a summary of each significant recommendation and the status of the recommendation as of the end of the reporting period. (U) TABLE 1 - STATUS OF SGNFCANT RECOMMENDED ACTONS: AUDTS (U) As of 31 December 2012, 143 significant recommendations that were issued by the Audit Staff and reported in previous semiannuals remained open. Of the 143 recommendations, 10 recommendations were closed during this reporting period, and 133 recommendations remain open as of ~l March AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (U) CA Processes for Engaging With the Entertainment-~stry (Ul Office of Public Affairs (b)(5) December 2012) J JANUARY - MARCH 2013 ~-- 29 *

59 TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RES:~:TS~BLE - ( b )( 1 ) (b)(5) -- - _J J OG SEMANNUAL REPORT

60 ~- --j TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY ( b )( 1 ) (b)(5) JANUARY - MARCH *

61 ~-- C ESRE~ TABLE 1: AUDTS (CONT.) (b)(5) OG SEMANNUAL REPORT

62 TABLE 1: AUDTS (CONT.) ( b )( 1 ) (b)(5) JANUARY - MARCH * J,,.;;:; "' ("")~ -..., on :z> "':z 0-1 c :;c -,..., "'C":> -10 ~~(1(3) :z :z ~o,..., 0

63 SES RE, ~-- TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (U) 2012 ndependent Evaluation of the CA nformation Security Program and Practices Required by the Federal nformation Security Management Act September 2012) (b)(s) - - J * 34 OG SEMANNUAL REPORT

64 SESREl TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY. (b)(1) (b)(5) i f- JANUARY - MARCH 2013 SE8RE~ L~ 35 *

65 4Hi~ TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RES:~:;~BLE (U) CA s Quantum _ Liti!D.intem September 2012).. (b)(5) * 36 SESREff OG SEMANNUAL REPORT 8pproved for Release: 2015/06/02 C

66 TABLE 1: AUDTS (CONT.) (U) CA's Quantum _Leap System [ September 2012) (continued) (b)(5)(3) ( b )( 1 ) JANUARY - MARCH 2013 L _j 37 *

67 ----~J TABLE 1: AUDTS (CONT.) ( b )( 1 ) (b)(5) 0 LU Cc.!> :z :z LU- ~~ 01- C..J en LU 1- ~ 6 * 38 z: (/) cc z: C..JO c;: j::: -u ~ct: en OG SEMANNUAL REPORT

68 SESRQ TABLE 1: AUDTS (CONT.) (U) 2011 ndependent Evaluation of the CA nformation Security Program and Practices Required by FSMA (b)(5) September 201Tf CU) The Use of ndependent Contractors June 2012) JANUARY MARCH *

69 ~--- TABLE 1: AUDTS (CONT.) ndependent Contractors (b)(s) June 2012) (continued) J * 40 swu~j~ DG SEMANNUAL REPORT

70 TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (b)(5) JANUARY - MARCH 2013 SEeRd 1 41 *

71 ~ TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (b)(5) _L l (U) Review of the CA's Compliance. With the mproper Payments Elimination and Recovery Act l-=-~- March 2012) (b)(5) (b)(1) (b)(5) Cl... Cl(.!) :z :z...,_ ::;;; Cl ::;;;~ 01- '--' V>... l a:: :::>,_o :z en uo ""':z L:;:;::::: -u ~<l'. v; * 42 ~ OG SEMANNUAL REPORT

72 TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RES:~:TS~BLE (b)(s) JANUARY - MARCH 20 l3 43 *

73 r- SEerm'ii TABLE 1: AUDTS (CONT.} AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (b)(5) 1 CU ndependent Auditor's Report on the CA FY EinanciaLSlts '. November (b)(5) * 44 OG SEMANNUAL REPORT J

74 ' TABLE 1: AUDTS {CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY 1 (b )( 1} {b)(3} (b)(5) 1ANUARY MARCH * ~ESR[fj _ 1 L. J

75 ~ --] TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (b)(1)! (b)(5) (b)(5) * 46 SEeRE~ i DG SEMANNUAL REPORT

76 ~ ----] TABLE 1: AUDTS (CONT.) (b)[b)(3) (b )l v} September 2011) (continued) J_ ( b )( 1 ) (b)(5) JANUARY - MARCH 2013! SEeRE~ 47 *

77 -i TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY ======= === (b)(s) (U) Controls Over the Approving Officer Authorities and Agency-Wide Certifying Officers Databases September 2011)...(b)(3f (b)(5) : (b)(s) * 48 OG SEMANNUAL REPORT

78 TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (b)(5) JANUARY - MARCH * SEGRE~

79 SEeRn l TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY ' (b)(5) _ * 50 OG SEMANNUAL REPORT J

80 , ~W~E~ TABLE 1: AUDTS!CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (b )( 1 ) (b)(5) JANUARY - MARCH *

81 TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY Auditor's Report on the CA FY 2010 Financial Statements November 2010) ' (b)(1) : ' (b)(s) CU) Common Workgroup Environment Version CCWE2l,~--- May 2010) * 52 OG SEMANNUAL REPORT ~-

82 TABLE 1: AUDTS (CONT.) Workgroup Environment Version 21 CCWE2l (b)(5) May 2010) (continued) JANUARY - MARCH 2013 ~ * V> :» c=; n:!l:... "T1 on :z :» (./') :z Cl... c:: :;o...,..,.., V> C"':... Cl ~~.(3) :z :z C"> 0 rn 0

83 Approved for Release: 2015/06/ C J ~- TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RES:~:TS~BLE (UJ Common Workgroup Environment Version 2 (CWE2l May 2010) (continued) (b)(5) * 54 DG SEMANNUAL REPORT SESRET~

84 TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY --- (U) Common Workgroup Environment Version 2 (CWE2) May 2010) (continued) (b)(s) JANUARY MARCH *

85 TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (U) ndependent Auditor's Report on the CA FY 2009 Financial Statements' e =~---~ November 2009) (b)(5) * 56 OG SEMANNUAL REPORT SES RE~

86 SES RE~ TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY Auditor's Report on the CA FY 2009 Financial Statements ( b )( 1 ) (b)(5) November 2009) (continued) JANUARY - MARCH *

87 ~ ' _J TABLE 1: AUDTS (CONT.) OG SEMANNUAL REPORT

88 ~! ~ _J TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (Ul General Controls Over the CA's Payroll System (b )( 5) January 2009) JANUARY - MARCH 2 J

89 TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY CUl General Controls Over the CA's Payroll System January 2009) (continued} (b)(5)! * 60 OG SEMANNUAL REPORT

90 ' SE6REL~ TABLE 1: AUDTS (CONT.) (b)(5) Financial Statements L ~ November 2008) JANUARY - MARCH 2013 SEeRE1 ~ *

91 ~-----_J TABLE 1: AUDTS (CONT.) Financial Statements November 2007),(b)(1) (b )( 5) J * 62 OG SEMANNUAL REPORT

92 TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (U) ndependent Auditor's Report on the CA FY 2007 Financial Statements ~ November 2007) (continued) (b)(5) (U) ndependent Auditor's Report on the CA FY 2006 Financial Statements --~ --: November 2006) ~ JANUARY MARCH *

93 (b}(3} TABLE 1: AUDTS (CONT.) (b}(3} AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (U) ndependent Auditor's Report on the CA FY 2005 Financi1:1L~tatements J! November 2005) (b )(3} (b)(5} j i (U)lndependent Report of Audit: FY 2004 Financial... Statements of the Cl * 64 OG SEMANNUAL REPORT

94 TABLE 1 : AUDTS (CONT.) Statements of the CA :------"------~, ! November 2004) (continued) (b)(s) (U) The Agency's Administration of Transactions With Other Government Agencies oc:tolierwmj JANUARY - MARCH * SE8RFF1i

95 SE8REr ~-- TABLE 1: AUDTS (CONT.) AUDTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (b)(5) , (U) The Agency Debt Collection Process (b)(5) June 2001 l This table is SEGRE[ * 66 SESREf OG SEMANNUAL REPORT ~------

96 ,-,- ~ ~ CU) TABLE 2 - STATUS OF SGNFCANT RECOMMENDED ACTONS: NSPECTONS (U) As of 1 January 2013, 24 significant recommendations that were issued by the nspections Staff and reported in previous semiannuals remained open. Of the 24 recommendations, four recommendations were closed during this reporting period, and 20 recommendations remain open as of 31 March 2013.!Ul CA's Foreign Lan2uaee,ies (b)(s) December 2012) J December 2012) (Ul Policies and Processes for Discipline and Accountability at the CA (b)(s) (b)(s) August 2012) (b)(s) JANUARY - MARCH 2013 SESRE{ 67 *

97 ~-- --~~-~ C TABLE 2: NSPECTONS!CONT.) NSPECTONS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (b)(s) (U) Counterproliferation Canter,_ '',_,_~_J June 2012) _, (b)(1) (b)(s) ' (UJ Weapons ntelligence, Nonproliferation, and Arms Control Center June 2012) ' (UJ Crime and Narcotics Center ~''''''' L _,_ - January * 68 - OG SEMANNUAL REPORT

98 TABLE 2: NSPECTONS (CONT.) NSPECTONS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY CU) Crime and Narcotics Center ~-, January 2012) (continued) (b)(5) CU) 01-NCS nformation Sharing September 2011) June 2011 l JANUARY - MARCH 2013 _J ' ' 69 *

99 , ESRE1~--- TABLE 2: NSPECTONS (CONT.) --- June 2011) (continued) NSPECTONS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (b)(5) (U) Office of Technic~ Service L - -- J May2011) (U) CA Performance. on Diversity November 2010) (U) Logistics Support November 20l0) --- (U) Office of Development and Engineering J November 2010) * 70 OG SEMANNUAL REPORT --

100 SESREE --_-_ j TABLE 2: NSPECTONS {CONT.) NSPECTONS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (b)(s) {U) Office of Collection Strategies _Ml ~_AJH!JYSl!! - - _J September 2009) (b)(s) Th-1s table isffc, L l! JANUARY - MARCH 2013 SE6RE,. ~- J 71 *

101 ~--_--- _J (U) TABLE 3 - STATUS OF SGNFCANl RECOMMENDED ACTONS: ASSESSMENTS (U) As of 1 January 2013, 10 significant recommendations from assessments that were reported in previous semiannual remained open. None of these recommendations were closed prior to the end of the reporting period, 31 March ASSESSMENTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (U) Review of High Threat Training October 2012) (b)l L * 72 SES RE~~- ~' J OG SEMANNUAL REPORT

102 SE8RE[-..-- J TABLE 3: ASSESSMENTS (CONT.) ASSESSMENTS SUMMARY OF RECOMMENDATON STATUS RESPONSBLE PARTY (U) Memorandum: Directorate of Science and Technology Accountable Property July 2012) (b)(s) June 2012) This table is~-- -- JANUARY - MARCH 2013 mire, _J 73 * V'l l> <;:; (")~.....,., c;c=; :z l> V'l :z o-< c""...,.,., V'l (") -<o ~~(13) :z :z G') C>,..., C>

103 (U) TABLE 4 - STATUS OF SGNFCANT RECOMMENDED ACTONS: NVESTGATONS (U) As of 1 January 2013, two significant recommendations that were issued by the nvestigations Staff and reported in previous semiannuals remained open. These recommendations were not closed during this reporting period, and remain open as of 31 March (b)(s) CUJ Conversion of Government Property and Failure to Report Foreign : Gift~ --- -~ October 201 OJ (b)(s) This table 1s >i.('lllt;~ * 74 OG SEMANNUAL REPORT

104 SEef<Efl : SEeRE~- - ' -

105