AGA’s 2015 IG Survey:Accelerating ChangeIG 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