Office of the Inspector General 2013 Annual Activity Report

Transcription

1 Office of the Inspector General 2013 Annual Activity Report July 2014

2 Board of External Auditors (2012 Report) 3.1. Requests the new Inspector General do a full organizational review of OIG operations and provide the Board with an action plan for improved operations by December 31, Reaffirms its recommendation of the need for a peer review evaluation to be performed on the Office of Inspector General. 2

3 Balanced Scorecard Financial Customers Vision and Strategy Internal Processes Learning and Growth From 1992 Kaplan and Norton paper. The Balance Scorecard is a set of measures that provide Management with a fast yet comprehensive view of the business. 3

4 2013 Annual Operating Plan Goal 1 3 audits and investigations as required by Members States and SG. Goal 2 4 audits: operations, processes and areas/departments in Headquarters. Goal 3 4 audits: National Offices and continuous auditing. Goal 4 Follow up of the Recommendations. Goal 5 Observers in Meetings. Goal 6 Operating Annual Plan Developed. Goal 7 OIG Strategic Plan (including manuals, procedures, and standardized work papers). Goal 8 Training following the IIA s standards. 4

5 2013 Plan (Audits) Goal # Name Status Report Date 2 AUD. 13/01 DFAMS Cash Management Services Audit Report Issued Nov. 22, AUD. 13/02 DOITS Information Security Review Reporting Phase 2 AUD. 13/03 DP Vendor Master File Audit Report Issued Dec. 31, AUD. 13/04 DHR ICR Audit Reporting Phase 3 AUD. 13/05 GS/OAS Office in Barbados Postpone to AUD. 13/06 GS/OAS Office in Honduras Report Issued Dec. 31, AUD. 13/07 GS/OAS Office in Uruguay Report Issued Dec. 31, AUD. 13/08 Inter American Children's Institute Reporting Phase 3 ASM. 13/ Online Assessment Report Issued Nov. 22, AUD. 13/09 DGS Building Management and Maintenance Section Postpone to AUD. 13/10 DP Monitoring of Compliance of Economy Class Travel Report Issued Dec. 26, AUD. 13/11 Audio Recordings at the 43 rd General Assembly Report Issued Sep. 26,

6 2013 Plan (Investigations) Goal # Name Status Report Date 1 INV. 13/01 Investigation on Anonymous s Report Issued Jul. 11, INV. 13/02 Communication Received in Person Closed DLS respons. 1 INV. 13/03 Memoranda Issued by Staff Member Report Issued Sep. 3, INV. 13/04 Possible Ethics Violation Report Issued Oct. 3, INV. 13/05 Communication Received via Outside OIG s mandate Not related to GS/OAS 1 INV. 13/06 Consultation Related to Human Resources Benefits Outside OIG s mandate Communic. to DHR 1 INV. 13/07 Consultation from the Security Section Outside OIG s mandate Consult. responded 1 INV. 13/08 Communication Received via Regular Mail Outside OIG s mandate Not related to GS/OAS 1 INV. 13/09 Communication Received via Voice Mail Outside OIG s mandate Not related to GS/OAS 1 INV. 13/10 Communication Received via Regular Mail Outside OIG s mandate Not related to GS/OAS 1 INV. 13/11 Possible Visa non compliance Report Issued Dec. 31, INV. 13/12 Active case 1 INV. 13/13 Active case 1 INV. 13/14 Active case 6

7 OIG Staff Category As of 1/1/13 Out In As of 12/31/13 Real 4/30/14 D P 05 1 (1) P 03 2 (1) (*) 1 (*) 2 2 (**) P 02 2 (2) 2 (***) 2 2 P Total 7 (4) (*) DOITS Temporary Assignment. Finished April (**) ST EO/101/13 One Investigator level P 03 published September, Started March, (***) ST EO/78/13 Two Auditors level P 02 positions joined the OIG during September

8 Recommendations Evolution Area As of Merged New As of (*) Closed 1/1/ /31/13 Depart. of Procurement 25 (3) (16) 9 15 Coordinating Office for the National Offices 22 (18) 4 Depart. of Human Resources 17 (2) 2 17 Depart. of Financial and Admin. Mgmt. Svcs. 13 (1) (8) Secretariat for Administration and Finance 8 (1) Mission to Sup. the Peace Process in Colombia 5 (3) 2 Depart. of General Services 4 (3) 1 2 Depart. of Human Dev., Education and Culture 3 3 Secretariat for Multidimensional Security 3 (3) Other areas with one or two recommendations 13 (8) 9 14 Total 113 (4) (62) (*) Corresponds to a total of six recommendations merged into two recommendations in the Department of Procurement. 8

9 Risk Management AG/RES (XLIII O/13) has requested the General Secretariat to pursue efforts, for the purpose of improving the transparency and efficiency of the General Secretariat s operations, to establish appropriate planning, control, and evaluation systems that will enable the Member States to follow up on budget programming and fiscal supervision. In 2013, the OIG started its Annual Risk Assessment, in order to develop the 2014 Audit Work Plan. 9

10 OIG Areas of Interest Enterprise Risk Management: Needs to perform a comprehensive assessment of Organization s current approach to risk management. Transition from the current budgetary and financial rules to IPSAS. Results based budget initiative. OAS business processes are not fully defined, automated, nor integrated focused on Human Resources and Budget Execution. 10

11 Audit Work Plan for 2014 Audit Technical Area / Subject AOP Goal # 1 Department of Human Resources CPRs 1 2 Department of Human Resources Local Personnel 1 3 Department of Planning and Evaluation Implementation 1 of Results Based Budget 4 Department of Planning and Evaluation Spanish Fund 1 5 Secretariat for Legal Affairs Inter American Judicial 1 Facilitators Program 6 GS/OAS Office in Barbados 1 7 GS/OAS Office in Nicaragua 1 8 GS/OAS Office in Panama 1 9 Department of Procurement Monitoring of Compliance of Economy Class Travel 2 11

12 Thanks To the Member States, the Secretary General and the General Secretariat for their continued support to the Office of the Inspector General. To the Office of the Inspector General Team for their dedication, hard work, and commitment. 12