AGA’s 2015 IG Survey: Accelerating Change IG Panel Discussion of Survey Results September 15, 2015

About the Survey Third AGA IG Survey Broader participation this year Four focus areas –Budget and Operations –Human Resources –Data Analytics, Cybersecurity, and IT Auditing –Financial Audit Other issues raised Interviews and survey tool used

Overall Survey Results Pace of change accelerating –Access to information/IG authorities a mobilizing issue –Seeing greater focus on sharing and efficiencies Ongoing trends –Budget uncertainty –Slow/broken hiring process –Concern over mandated audits –Continuing value from the financial audit Other issues –Information security –Effect of the DATA Act requirements

IG Panel Discussion

IG Authorities Access to all information is fundamental to independent oversight –Very strong feelings – cuts to the core of what an IG does –Issue arose in a few agencies –Concern over the precedent

Mandated Audits Mandated audits continue to expand –Concern over one-size-fits-all approach Limits flexibility to do risk-based planning Ranges from 20-40% - greater impact on smaller IG offices No sunsetting

Data Sharing and Data Analytics

Using data analytics to assess risk/focus audits Data Analytics

Data Sharing Streamlining of the data sharing/matching requirements incompatible systems, the format and quality of data can impede progress on this area

Greater Collaboration and Sharing Across the Community Challenge to IG authority has been a unifying issue Greater sharing initiatives: –Increased outreach/communication across community –Enabling sharing of information on common grantees –Develop a searchable database of all IG reports Independence is embedded in the IG culture

Budget Uncertainty Budget uncertainty still number one concern Adjusted to a “new normal” Mandates/DATA Act

Risk-Based Planning, Reporting, and Communication Risk-based planning can be improved –Internally – inhibited by declining resources, mandates, and congressional requests Agency risk assessment process Alternative reporting Social media

Human Resources Significant dissatisfaction with the federal hiring practice

Human Resources Does the process produce qualified candidates?

Human Resources - Skillsets

Information Security Current capability OPM data breach – lessons learned If you received additional funds, where would you spend them: –Information security

Financial Audit and Internal Controls Key component of oversight activities 85% attributed internal control improvements to the financial audit

Conclusion IGs continued to be challenged by: –Tight budgets –Ineffective hiring process –One-size-fits-all mandates More fundamental challenge is the access to information issue Sharing and collaboration are increasing Other uncertainties include the effect of the OPM data breach and the DATA Act