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2017 Strategic Plan For The Office Of Inspector General (U.S. DEPARTMENT OF INTERIOR / OIG)

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STRATEGIC PLAN 2017
March 2017
Table of Contents
A Message From the Deputy Inspector General..................................................... 1
Our Mission and Values.......................................................................................... 3
Mission: Independent Oversight and Excellence................................................ 3
Values: Objectivity and Independence, Integrity, and Getting Results .............. 4
Objectivity and Independence ......................................................................... 4
Integrity ........................................................................................................... 4
Getting Results ................................................................................................ 4
Our Strategic Goals, Objectives, and Indicators of Success................................... 6
Strategic Goal 1: Provide Customers With Top Quality Products and Services 7
Strategic Goal 2: Promote Excellence, Integrity, and Accountability in DOI .... 8
Strategic Goal 3: Achieve Operational Excellence ............................................. 9
Strategic Goal 4: Ensure Effective Stewardship of Budget and Resources ...... 11
Appendix: Organizational Descriptions and Chart............................................... 12
OIG Organizational Chart (2017) ..................................................................... 15
A Message From the Deputy
Inspector General
The U.S. Department of the Interior’s (DOI) Office of Inspector General (OIG) is
proud to present our revised strategic plan for the years 2017 through 2021. The
Inspector General (IG) Act of 1978 established IGs as independent and objective
oversight bodies to ensure accountability within their respective agencies. OIG is
a unique component of DOI, with a dual reporting responsibility to both the
Secretary and Congress, while maintaining complete independence from both.
OIG issues objective reports about DOI’s programs and activities. In developing
these reports, OIG is entitled to full access to all information regarding all DOI
programs, operations, and activities. This may include information that is
privileged, confidential, or otherwise exempt from disclosure. Our customers can
use our reports to make decisions, prevent wrongdoing, and take corrective
actions. When there is criminal wrongdoing, we provide information to the
U.S. Department of Justice. We also make our findings transparent to the public.
Thirty-nine years after their establishment, IGs have a more critical role than ever.
The Nation faces trends such as historically low citizen confidence in the Federal
Government, a constrained budget environment, and both real and perceived
mismanagement of Federal programs, funds, and operations. By holding agencies
accountable and ensuring sound fiscal stewardship of taxpayer dollars and other
Federal revenue, IGs can help address these trends.
To put the work of our OIG in context, it is helpful to understand the scope of
work, size, and geographically dispersed nature of our Department. The missions
of DOI’s bureaus range from issuing oil and gas leases, supplying energy and
water to the Nation, and conserving resources to providing recreational and
cultural opportunities to the public. DOI employs 70,000 Federal employees, and
works with contractors, grantees, volunteers, and key partners, to accomplish this
work in over 2,400 locations across the Nation and in the Insular Areas under
American protection.
With about 260 employees overseeing this expansive Department, we choose our
priorities carefully. This strategic plan will guide us in remaining a trusted choice
for independent, objective information so that we can instill excellence, integrity,
and accountability into DOI’s programs and practices. This plan also links our
reporting responsibilities with the internal pursuit of organizational excellence
and fiscal stewardship.
We will update the plan regularly and maintain its relevance by consulting with
customers, stakeholders, and partners regarding the value of our products and
1
services; obtaining input
from
OIG
staff
to
ensure that
OIG
operates efficiently;
and
assessing organizational perfonnance
and
adjusting operations as
necessary.
I look forward
to
working
with
OIG
staff,
DOI,
and
Congress
as
we
implement
this
strategic plan.
Mary
L.
~
,
dall
Deputy Inspector General
2
Our Mission and Values
Mission: Independent Oversight and Excellence
The mission of the Office of Inspector General (OIG) is to provide independent
oversight and promote excellence, integrity, and accountability within the
programs, operations, and management of the U.S. Department of the Interior
(DOI). Our highly motivated and trained staff of about 260 employees, grouped
into 5 organizational components in several offices across the United States (see
the appendix), develops the products and services that allow us to deliver high-
quality information to DOI, Congress, and the American public.
DOI employs 70,000 people and is responsible for managing America’s vast
natural and cultural resources. DOI achieves its mission through its bureaus and
offices: the Bureau of Indian Affairs, Bureau of Indian Education, Bureau of Land
Management, Bureau of Ocean Energy Management, Bureau of Reclamation,
Bureau of Safety and Environmental Enforcement, National Park Service, Office
of Surface Mining Reclamation and Enforcement, U.S. Fish and Wildlife Service,
and U.S. Geological Survey.
Collectively, these bureaus manage about one-fifth of the land in the United
States and 55 million acres of American Indian trust lands. Many of these lands
provide recreational and cultural opportunities to national and international
visitors. DOI is also responsible for 1.7 billion acres on the Outer Continental
Shelf, including oil and gas leases, as well as a variety of water and underwater
resources, including hundreds of dams and reservoirs. In addition, DOI—
• oversees the development of 23 percent of U.S. energy supplies;
• is the largest supplier and manager of water in the 17 Western States;
• maintains relationships with more than 500 federally recognized American
Indian tribes;
• provides services to more than 1.9 million American Indians and Alaska
Natives;
• is responsible for migratory bird and wildlife conservation, historic
preservation, and endangered species conservation;
• protects and restores surface-mined lands;
• provides science that protects the public from hazards and informs
decisionmaking on management of land and resources; and
• provides financial and technical assistance to the Insular Areas.
The Inspector General Act of 1978 mandates that we conduct and supervise audits
and investigations related to DOI programs and operations; provide leadership
and coordination; and make recommendations to promote economy, efficiency,
and effectiveness and to prevent and detect fraud, waste, and mismanagement in
3
DOI programs and operations. OIG is also required to keep the Secretary of the
Interior and Congress fully and currently informed about problems and
deficiencies relating to DOI programs and operations.
Values: Objectivity and Independence, Integrity, and
Getting Results
OIG operates as an independent oversight organization responsible to DOI,
Congress, and the American public. We abide by the highest ethical standards,
and we have the courage to tell our customers and stakeholders what they need to
know—not what they wish to hear. Our values define a shared OIG way, guiding
employee behavior and decisions at all levels. Adhering to these values builds a
foundation to develop trustworthy information that improves DOI.
Objectivity and Independence
Together, objectivity and independence define us and are the bedrock of our
credibility. These concepts are closely related. Independence impairments impact
objectivity. OIG and its employees must remain independent from undue outside
influence and approach work with intellectual honesty.
• Facts. We gather and report facts.
• Evidence. Sufficient fact-based evidence supports our findings and
conclusions so they are logical, credible, and acceptable to a reasonable
person.
• Work products. We select our work and deliver our findings with candor.
Integrity
Integrity is a character trait as well as a way of doing business. By acting with
integrity in all we do, we build trust and a reputation for producing reliable work.
• Ethics. We hold ourselves to the highest ethical and professional
standards.
• Trust. We inspire trust by being honest, reliable, and transparent.
• Dignity and respect. We treat our colleagues and those outside OIG with
dignity and respect.
Getting Results
We make a positive impact on DOI by detecting fraud and other wrongdoing;
deterring unethical behavior and preventing deleterious outcomes; confirming
whether programs achieved intended results and were fiscally responsible; and
highlighting effective practices. Our overall success depends on both individual
and team efforts.
• Focus. We focus our work on, and build the workforce’s skills to address,
DOI’s most important and challenging areas.
4
• Investment and improvement. We invest in our people, assess past
actions, and adapt when necessary to continuously learn and improve as
individuals and as an organization.
• Teamwork. We foster a collegial, open culture to build collective
knowledge and provide mutual support.
• Balance. We foster an environment that helps employees balance work
and personal life.
5
Our Strategic Goals, Objectives, and
Indicators of Success
We have established four strategic goals to guide our work (see Figure 1). These
goals ensure that OIG will work to meet our customers’ needs and will use our
limited resources wisely. Doing so will help us excel internally, so that we can
provide products and services that DOI can use to make improvements and ensure
accountability throughout its operations.
Figure 1. OIG’s strategic goals.
6
Strategic Goal 1:
Provide Customers With Top Quality Products and
Services
Our first goal addresses how we deliver information to our customers: by
providing top quality products and services. Our key customers include DOI and
Congress, who are specifically named in the Inspector General Act, and the
U.S. Department of Justice (DOJ), when we find criminal wrongdoing. Through
our products and services, we deliver information to these customers so they can
prevent, or correct, wrongdoing or improve current operations. We consider our
information to be of high quality if it is accurate, actionable, relevant, and timely.
We also set an example by being responsive, open, and accountable with our
information.
Objectives
Strategies
Objective 1 – Provide accurate and
actionable information that is relevant
and timely.
Objective 2 – Be responsive in an open
and accountable manner.
• Achieve product quality and timeliness
through standardized practices.
• Incorporate relevant project management
methodologies and practices to guide
projects to timely completion.
• Communicate with DOI, Congress, and
DOJ on OIG mission, work, and impact and
on their program concerns.
• Make our work available for interested
members of the public.
• Establish standard practices to respond to
public requests in a timely manner.
• Monitor external environment for events
that impact OIG.
Indicators of Success
• Projects meet OIG quality standards, as evidenced by OIG passing periodic peer
reviews.
• OIG provides information to recipients in a timely manner, as evidenced by OIG
meeting internal milestones.
• Recipients receive actionable information, as evidenced by timely implementation of
our recommendations and action on our investigative conclusions.
• OIG issues timely responses to inquiries from the public, as evidenced by timely
response to Freedom of Information Act requests and applicants for open OIG
positions.
7
Strategic Goal 2:
Promote Excellence, Integrity, and Accountability in
DOI
Our second goal addresses the content and purpose of the information we provide
and the core mission of OIG. Through investigations, audits, inspections,
evaluations, and other reviews, we promote excellence, integrity, and
accountability in DOI. We seek to provide information that helps to prevent,
detect, and deter fraud and identifies and reports waste and mismanagement.
DOI’s size and complexity requires us to prioritize, focusing our audit, inspection,
evaluation, and investigative resources on important areas for DOI.
Objectives
Strategies
Objective 3 – Prevent, detect, and
deter fraud.
Objective 4 – Identify and report waste
and mismanagement.
• Use a multi-faceted approach to conduct
investigative oversight.
• Raise awareness of fraud, fraud indicators,
and fraud prevention in DOI.
• Establish a network of information sources
and comprehensive analytical capabilities.
• Concentrate OIG work in high priority and
high risk program areas.
• Recommend appropriate safeguards to
address DOI program vulnerabilities.
• Use multiple tools and techniques to
address major challenges and risks facing
DOI.
• Establish key focus areas for OIG work
assignments.
Indicators of Success
• DOI improves its programs and operations as a result of the value-added information
we provide.
• DOI implements administrative remedies as a result of our referrals of judicial and
civil cases.
• DOI employees and recipients of Federal contracts and financial assistance increase
their awareness of how to prevent wrongdoing, including fraud, as a result of our
outreach and prevention efforts.
• DOI leaders set an appropriate tone from the top by holding employees, contractors,
and grantees accountable as a result of our investigative work.
8
Strategic Goal 3:
Achieve Operational Excellence
Effective internal operations allow us to provide quality information. We
therefore strive in our third goal to develop internal capacity. We build a solid
foundation by recruiting the right employees, investing in them so they obtain the
requisite skills and knowledge, and leading the organization in a way that will
keep them engaged and encourage productivity. Building on this foundation, we
know that we can enhance productivity and performance through collaboration at
the organizational, office, team, and individual levels and by focusing on
continuous improvement in processes and day-to-day operations. We also know
that internal excellence requires effective communication, especially from the top.
We therefore seek to institute effective communication practices to build mutual
trust among our employees and with our customers.
Objectives
Strategies
Objective 5 – Enhance productivity and
collaboration to cultivate continuous
improvement.
Objective 6 – Recruit, develop, and
retain talented employees who
maintain the highest professional
standards of conduct.
Objective 7 – Practice planned, clear,
and effective communication.
• Develop a culture of productivity and
excellence through performance
management and awards systems.
• Employ continuous feedback to achieve
accountability and job satisfaction.
• Promote a team-based, cross-functional
approach to problem solving and
information sharing.
• Establish and maintain organizational and
individual accountability.
• Use technology to enhance mission.
• Use a multi-faceted approach to train staff
to maintain required knowledge, skills, and
abilities.
• Supplement the training budget by using
OIG subject matter expertise to train staff.
• Enhance leadership and management skills.
• Recruit and retain a workforce based on
identified needs and priorities.
• Develop effective internal and external
communication practices.
Indicators of Success
• OIG staff maintains specialized expertise in energy, acquisition and Federal financial
assistance, and IT audits and investigations.
• Employees perceive communication in OIG to be honest and consistent, as evidenced
by positive scores on relevant questions in the Federal Employee Viewpoint and
internal surveys.
9
• Work-life balance contributes to employee satisfaction, as indicated by employee
participation in telework and other work-life balance programs above
Governmentwide averages.
• IT resources enable productivity, as evidenced by improved speed and remote access.
• Employees and leadership embrace a culture of continuous improvement, as
evidenced by implementing recommended actions from After Action Reviews.
10
Strategic Goal 4:
Ensure Effective Stewardship of Budget and
Resources
Our fourth and final goal promotes effective stewardship of our budget and
resources, holding our organization to the same standard of fiscal responsibility
that we use to assess DOI. We do this by continual planning and assessment of
our resource use and expenditures, adjusting as necessary.
Objectives
Strategies
Objective 8 – Effectively plan, manage,
and use resources.
• Establish funding priorities in support of the
strategic plan.
• Monitor and adjust resource use as
necessary to support highest priorities.
Indicators of Success
• OIG staffs the organization with consideration of current budget and future budget
projections, as evidenced by a staffing allocation plan and execution that position us to
maintain staff in all key positions while avoiding reduction-in-force actions even in the
face of reduced budgets.
• Cost savings are achieved through online and in-house training, when appropriate.
11
Appendix: Organizational
Descriptions and Chart
The Office of Inspector General (OIG) has five major organizational components,
listed below, which are headquartered in Washington, DC. In addition to its
headquarters office, OIG maintains three regional offices in Virginia, Colorado,
and California, and six field offices.
Component
Immediate Office
of the Office of level support to the Inspector General. The Chief of Staff is
Inspector General primarily responsible for the day-to-day management of OIG
operations and coordination of the activities of each OIG
component. The Chief of Staff also oversees executive
performance, strategic planning, congressional outreach, and report
production.
Office of Audits,
Inspections, and programs’ financial operations, internal controls, and compliance
Evaluations (AIE) with applicable laws and regulations. These reviews result in
recommendations that improve program performance. More
specifically, AIE—
• assesses the design, implementation, or result of DOI
operations, programs, or policies;
• determines whether funds were properly administered and
whether the result met the program’s intent and expectations;
• audits DOI contracts and financial assistance awards;
• checks compliance with specific laws, regulations, or policies;
• reviews programs and operations of the Insular Area
Governments and Compact Nations;
• determines whether the recommendations from an audit,
evaluation, or inspection were implemented by the identified
bureau/office;
• provides training and other support to Insular Area
Governments and Compact Nations to assist in strengthening
programs and improving various operations;
• oversees audits of DOI financial statements to determine
whether they are presented fairly and in accordance with
accounting principles; and
• determines compliance with the Single Audit Act of 1984, as
amended.
12
Component
Office of General
Counsel (OGC) and the entire OIG staff. This legal guidance covers the full range of
activities within OIG, including investigations, audits, inspections,
and evaluations. OGC manages the OIG ethics program, providing
ethics advice, training, and financial disclosure reviews. OGC also
provides legal advice to OIG’s Office of Management on issues such
as employee relations, contracting authority, records management,
and appropriations law. Finally, OGC is responsible for managing
OIG’s Freedom of Information Act and Privacy Act programs.
Office of
Investigations (OI) allegations of misconduct. OIG conducts criminal, civil, and
administrative investigations. More specifically, OI—
• investigates allegations of fraud, waste, or mismanagement
resulting in significant financial loss or impact to DOI;
• reviews employee misconduct associated with fraud, waste, and
mismanagement involving DOI programs and resources;
• investigates allegations involving contractors, grantees, or other
entities doing business with and receiving funds from DOI;
• assesses and examines allegations involving senior DOI officials,
misconduct by law enforcement supervisory personnel, and
serious criminal misconduct by DOI law enforcement officers;
• coordinates criminal and civil investigations with the
U.S. Department of Justice, which determines whether to
prosecute;
• provides reports on administrative investigations to DOI for
action;
• makes recommendations to the DOI suspending and debarring
official for administrative actions or compliance and ethics
agreements;
• makes referrals pursuant to the Program Fraud Civil Remedies
Act to administratively recover funds for false claims under
$150,000 and false statements;
• conducts outreach and educational briefings on fraud awareness
and other topics to prevent wrongdoing and its consequences
before they occur; and
• oversees the Whistleblower Protection Program, which ensures
that DOI employees who disclose information are fully
informed of their rights, responsibilities, and remedies under
anti-retaliation laws, and provides whistleblower advisory
services and support, which may include a formal OIG
investigation.
13
Component
Office of
Management (OM)
and execution, travel and credit card management, human
resources functions, facilities management, records management,
property management, procurement, emergency management,
training, and more. OM divisions include—
• the Financial Management Division, which oversees budget
formulation and execution and Federal travel and credit card
use;
• the Human Resources Division, which oversees hiring,
personnel actions, personnel security, employee benefits, work-
life issues, training, and related activities;
• the Information Technology Division, which provides IT support
to the OIG user community, develops IT infrastructure for the
future, and oversees and evaluates DOI’s IT and security
programs;
• the Facilities and Operations Services Division, which manages
OIG facilities, renovations, and telecommunications across the
United States;
• the Procurement Division, which handles all acquisitions,
contracting, and negotiations for OIG;
• the Business Application Services Unit, which is responsible for
improving business processes through process redesign and
automation; and
• the Chief Information Security Officer, who is responsible for
ensuring that OIG’s information and systems are as secure as
possible.
14
OIG Organizational Chart (2017)
INSPECTOR GENERAL
DEPUTY INSPECTOR GENERAL
Chief of Staff
Assistant Inspector General for Audits,
Inspections, and Evaluations
Assistant Inspector General for
Investigations
Assistant Inspector General for Management
Program Integrity
Division
Administrative
Remedies Division
Whistleblower
Protection
Office of General
Counsel
Office of
External Affairs
Strategy
Management Office
Communications
and Reports Unit
Chief Information
Security Officer
Information
Technology Division
Human Resources
Division
Deputy AIG for Investigations
Field Operations
Deputy AIG for Investigations
Support Division
Deputy AIG for AIE
Field Operations
Deputy AIG for AIE
HQ Operations
Deputy AIG for Management
Western Field
Office
Eastern Field
Office
Energy
Investigations Unit
Intake
Management Unit
HQ Operations
Unit
Computer Crimes
Unit
Central Region
Western Region
IT Audits Division
Financial & Contract
Audit Unit
Externals Audit
Division
Energy Audit Unit
Eastern Region
Facilities & Operations Services
Division
Financial Management Division
Procurement Division
Business Applications Services Unit
Emergency Management &
Records Management
Inventory & FBMS
Capacity Building
Atlanta Office
Albuquerque
Office
Billings Office
Rapid City Office
Sacramento
Office
15
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