oversight

Report 2005-008-MGT - OMB Scorecard and EEOC Update

Published by the Equal Employment Opportunity Commission, Office of Inspector General on 2005-10-01.

Below is a raw (and likely hideous) rendition of the original report. (PDF)

                       MANAGEMENT ADVISORY
Since February 2002, the Office of Inspector General (OIG) has provided you with periodic
Management Advisory memos relating to the OMB Scorecard and EEOC. We are pleased once
again to provide you with the results of our latest update and assessment of where the agency
stands in terms of meeting the core criteria of the President’s Management Agenda (PMA) issued
by OMB. We met with agency managers having PMA responsibilities during August and
September 2005 and discussed progress made since our last update. Agency managers are fully
aware of the PMA requirements and are working diligently to ensure that the Commission gets to
“Green” in each of the initiatives. Based on our interviews, we identified agency
accomplishments, weaknesses, and planned actions for each of the five initiatives.

In each of the initiative areas, OIG would issue a green light indicating progress that
management is making in moving towards getting to Green. In terms of meeting the core
requirements of the PMA, we would issue RED lights in two of the five initiatives (Improved
Financial Performance and Budget and Performance Integration). We would issue YELLOW
lights in Strategic Management of Human Capital and Competitive Sourcing initiatives. We
would once again issue a GREEN light for EEOC’s efforts in Expanded Electronic Government.

The results of our review are summarized in the table below:

Progress Made in Getting to Green

      PMA Initiative           Progress Made in Getting to      Meeting the PMA ‘s Core
                                         Green                         Req’mnts
       E-Government                        Green                           Green

    Budget/Performance                     Green                            Red
        Integration
       Human Capital                       Green                          Yellow

    Competitive Sourcing                   Green                          Yellow

   Financial Performance                   Green                            Red


Summaries of our discussions with EEOC managers addressing the five government-wide
initiatives are included in the Attachments.

Attachments

cc: Leonora Guarraria, Chief Operating Officer
Jeffrey Smith, Chief Financial Officer
Sallie Hsieh, Chief Information Officer
Angelica Ibarguen, Director, Office of Human Resources
Deidre Flippen, Director, Office of Research, Information, and Planning
                                                                                  Attachment I

                                    E-Government
Current OIG Assessment: GREEN Light

OIG Assessment on Progress in Implementing PMA: Green Light

Accomplishments: EEOC’s enterprise architecture is linked to the Federal Enterprise
Architecture (FEA) and is rated effective based on Office of Management and Budget’s (OMB)
Enterprise Architecture Assessment Tool. The Agency scored “3” or above in the EA maturity
and degree of alignment.

All of EEOC’s Information Technology systems are certified and accredited.

EEOC has developed acceptable business cases for all major Information Technology systems
investment.

EEOC OIT managers were able to provide a FY 2005 Funds/Performance Summary for all major
projects in which costs and schedule overruns averaged less than 10% and performance shortfalls
averaged less than 10%.

EEOC currently participates in the following E-Gov initiatives: e-Rulemaking, e-Training, e-
Authentication, e-Forms, e-Records, and e-Payroll.

                                                                                 Attachment II

                      Budget/Performance Integration
Current OIG Assessment: RED Light

OIG Assessment on Progress in Implementing PMA: Green Light

Accomplishments: The Chief Financial Officer holds monthly meetings with Senior Staff
members to examine financial reports including any budget and performance trends.

Performance appraisal plans for Senior Executive Service(SES) Managers link to agency’s
mission, goals and outcomes and differentiates between various levels of performance with
consequences based on performance.

The EEOC has implemented its cost accounting system to reflect full cost information into
budget and performance reports.
Weaknesses: In order to issue a Green light in this area, OMB requires that the Agency undergo
the Office of Management and Budget’s (OMB) Program Assessment and Rating Tool (PART)
review. EEOC is not scheduled to undergo a PART review until spring 2006.

Planned Actions: In anticipation of the OMB PART review, an interagency workgroup has
been formed to conduct a “dry run” exercise of the PART review process.

                                                                                 Attachment III

                                    Human Capital
Current OIG Assessment: YELLOW Light

OIG Assessment on Progress in Implementing PMA: Green Light

Accomplishments: Office of Human Resources (OHR) has developed, documented and
communicated a comprehensive Human Capital Plan. The EEOC plan for Strategic Human
Capital Management was issued in February 2005. The plan is aligned with the Agency’s
mission, strategies, goals and objectives. It addresses the Office of Personnel Management’s
(OPM) Human Capital Standards for Success. It also includes metrics for each standard,
timelines, and assigns responsibility to accountable managers.

The Commission recognizes outstanding employees with the “Chairs Opportunity to Reward
Excellence (CORE)” Awards designed to recognize, reward, and showcase the “best practices”
by EEOC employees.

The Workforce Planning Group comprised of representatives from various EEOC offices has
issued a Draft Interim Workforce Planning Report addressing the workforce’s sustainable
capability to meet mission critical objectives, recruitment, retention, and employee motivation
and development.

Weaknesses: Individual Development Plans (IDPs) have not been developed and executed for
all employees. The Human Capital Assessment and Accountability Framework established to
meet the President’s Management Agenda initiatives for Human Capital standards require
agencies to develop individual, team, and organizational competencies linked to the agency
mission. These competencies should be assessed and employees trained in specific, job related
skills.

Planned Actions: OHR will continue to work to ensure that the organizational structure is
delayered and oriented toward performing the assigned mission of the EEOC, once final decision
on future structure is made by the Chair.

                                                                                  Attachment IV

                               Competitive Sourcing
Current OIG Assessment: YELLOW Light

OIG Assessment on Progress in Implementing PMA: Green Light

Accomplishments: The Commission met the deadline for reporting its commercial and
inherently governmental inventories to the Office of Management and Budget (OMB).

The Commission successfully completed a streamlined competition of the OFO Control Room
Function and developed a Most Efficient Organization (MEO) for that function within 60 days in
accordance with OMB Circular A-76 Performance of Commercial Activities.

The competition for the OFO Control Room Function resulted in the function remaining in house
with anticipated savings of approximately $100,000 over the five year period of performance.

Weaknesses: The Agency has not conducted any A-76 standard competitions involving 65 or
more full time equivalents. Also, the Agency hasn’t received a formal approved competition plan
to compete commercial activities. OMB requires approved competition plans and the completion
of standard competitions to get to Green.

Planned Actions: Plans are to hold competitions for the following functions: OIT Desktop
Support, Managed Telecommunications and Server Operations.

                                                                                  Attachment V

                              Financial Performance
Current OIG Assessment: RED Light

OIG Assessment on Progress in Implementing PMA: Green Light

Accomplishments: The Commission received an unqualified audit opinion on its Fiscal Year
2004 financial statements and met the accelerated financial statement reporting deadline.

Quarterly unaudited financial statements continue to be prepared and are submitted timely to the
OMB.

The OCFO is preparing Consolidated Monthly Financial Reports by Strategic Goals and
Program showing budgeted, obligated, expended and available amounts. These reports are
available to assist management in making day-to-day decisions.

Financial systems are in compliance with the Federal Financial Management Improvement Act
(FFMIA).

The Agency has no chronic or significant Anti-Deficiency Act violations.
Weaknesses: Cotton & Co. LLP, the Independent Public Accountants, noted a material
weakness in the quality control system in the financial reporting process. OMB requires that
there be no material auditor reported internal control weaknesses in order to obtain a yellow or
green light in this initiative.

Planned Actions: To work to ensure that the auditor reported material weakness relating to the
quality control over the financial reporting process is eliminated.