Audit of NARA's Compliance with the Federal Managers' Financial Integrity Act for FY15

Submitting OIG:

National Archives and Records Administration OIG

Report Description:

NARA OIG audited the NARA's compliance with Circular A-123, FMFIA, and internal guidance related to internal controls. We also evaluated the system of internal controls for NARA program offices, the accuracy of NARA’s Fiscal Year (FY) 2015 FMFIA Assurance Statement, and supporting individual office assurance statements.

Date Issued:

Friday, November 4, 2016

Agency Reviewed / Investigated:

National Archives and Records Administration

Submitting OIG-Specific Report Number:

17-AUD-03

Type of Report:

Audit

Questioned Costs:

Funds for Better Use:

Number of Recommendations:

View Document:

Attachment	Size
audit-compliance-with-the-federal-managers-financial-integrity-act-for-fy15.pdf	682.39 KB

Related Open Recommendations

Recommendation Number	Recommendation Status	Significant Recommendation
2	Open	Yes
The Archivist implement or upgrade current internal control software or utilize other mechanisms to enhance and improve the agency’s ability to track and report on internal controls.
5b	Open	Yes
The Archivist address outstanding recommendations from OIG Audit Report No. 13-01, including: Revisiting his decision on the placement and role in the organization of the Chief Risk Officer.
6a	Open	Yes
NARA Executives ensure: Monitoring and testing plans are sufficiently reported in the ICP Tool.
6b	Open	Yes
NARA Executives ensure: Results of monitoring and testing plans are achievable within the reporting timeframe.
6c	Open	Yes
NARA Executives ensure: All information is up-to-date and reflects the current control environment.
7	Open	Yes
NARA Executives identify, develop, and include in ICP reports measurable indicators to evaluate functions.
9	Open	Yes
The ICP Official develop and implement a consistent risk assessment process and format for risk ranking, analysis of effect or impact, and risk reporting.
10	Open	Yes
The ICP Official review the ICP reports and make and document any revisions necessary to the format to ensure all necessary information is obtained in the reports.

Recommendation Number

Recommendation Status

Significant Recommendation

Additional Details

Open

Yes

The Archivist implement or upgrade current internal control software or utilize other mechanisms to enhance and improve the agency’s ability to track and report on internal controls.

Open

Yes

The Archivist address outstanding recommendations from OIG Audit Report No. 13-01, including: Revisiting his decision on the placement and role in the organization of the Chief Risk Officer.

Open

Yes