Flash Report Series – Architect of the Capitol’s Records and Archives Management Flash Report

Submitting OIG:

Architect of the Capitol OIG

Date Issued:

Tuesday, May 9, 2023

Agency Reviewed / Investigated:

Architect of the Capitol

Submitting OIG-Specific Report Number:

2023-0001-IE-P

Location(s):

Washington, DC

United States

Type of Report:

Other

Questioned Costs:

Funds for Better Use:

Number of Recommendations:

Report updated under NDAA 5274:

View Document:

Attachment	Size
Flash-Report-SeriesAOC-Records-Management-and-Archives2023-0001-IE-Pdoc.pdf	936.92 KB

Related Open Recommendations

Recommendation Number	Recommendation Status	Significant Recommendation
1	Open	No
The Chief Administrative Officer should prioritize revision of the Records and Archives policies, procedures and all other associated policy directives to establish effective and efficient operational guidance and internal controls. Additionally, develop and implement a standardized timeline for policy revision and update within the current Fiscal Year. Though the AOC is not required to follow the National Archives and Records Administration (NARA) guidelines and polices, they are noted as best practices.
2	Open	No
The Chief Administrative Officer should, within 60 days, conduct an organizational assessment of the RMAB structure and responsibilities to determine if the branch is appropriately staffed and assigned.
3	Open	No
The Chief Administrative Officer, to address the immediate need of archival backlog items and digitalization processes, should: a) source a temporary contracting staffing option to assist RMAB staff with processing and clearing backlog items b) procure the services of an archival digitalization specialist to assist records retention, processing, research and preservation.
4	Open	No
The Chief Administrative Officer should, within 60 days, develop a corrective action plan for the RMAB and Curator Division leaders to address the leadership and management deficiencies within the Division. At a minimum, the corrective action plan should address communication skills, change management, leading and empowering high-performing teams and effective federal leadership.

Architect of the Capitol OIG

Architect of the Capitol

Vision

The Architect of the Capitol's (AOC) Office of Inspector General (OIG), promotes efficiency and effectiveness to deter and prevent fraud, waste, and abuse in AOC operations and programs. We do this through value-added, transparent, and independent audits, inspections and evaluations, and investigations. The OIG is a high-performing team, promoting positive change and striving for continuous improvement in AOC management and operations. We foster an environment that inspires AOC workforce trust and confidence in our work.

Mission

The OIG promotes efficiency and effectiveness to deter and prevent fraud, waste and mismanagement in AOC operations and programs. We do this through value-added, transparent and independent audits, evaluations and investigations. We strive to positively affect the AOC and benefit the taxpayer while keeping the AOC and Congress fully informed.

The AOC Inspector General (IG) Act of 2007, codified at 2 U.S.C. § 1808, established the OIG. This legislation applies some sections of the IG Act of 1978 as amended, specifically Sections 4, 5 (other than Subsections (a)(13) and (3) and (e)(1)(B) thereof), 6 (other than Subsection (a)(7) and (8) thereof), and 7. The IG is under the general supervision of the Architect of the Capitol. The mission of this independent office is to:

1. Conduct, supervise, and coordinate audits, inspection and evaluations, and investigations relating to AOC programs and operations.

2. Review existing and proposed legislation and regulations that impact AOC programs and operations and comment in the semiannual report regarding the impact on the economy, efficiency, or the prevention and detection of fraud and abuse of such legislation and regulations.

3. Recommend policies for AOC activities to promote economy and efficiency or prevent and detect fraud and abuse in its programs and operations.

4. Provide a means of keeping the Architect of the Capitol and the Congress fully and currently informed about problems and deficiencies relating to the administration of Agency programs and operations and the need for and progress of corrective action. This is generally done by issuing the Semiannual Report to Congress.

“Legislative Branch agencies including the Architect of the Capitol are not subject to the Whistleblower Protection Act or the Whistleblower Protection Enhancement Act; however, AOC employees are covered under the Congressional Accountability Act of 1995, as amended.”

The AOC OIG is a member of the Council of Inspectors General for Integrity and Efficiency.

https://aocoig.oversight.gov/

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Flash Report Series – Architect of the Capitol’s Records and Archives Management Flash Report

Related Open Recommendations