Office of Inspector General

FA L L 2 0 1 3 O V E R S E A S S T A F F T R A I N I N G : OV E RV I E W O F T H E O I G A N D O U R C O U N T RY P R O G R A M E VA L UA T I O N P R O C E S S

Todays Discussion Topics

Provide an overview of the Office of Inspector General (OIG)

Discuss the objectives and methodology for a standard OIG Country Program Evaluation

Review evaluation trends Provide information on how to contact the OIG

A History of Evaluation and Oversight

Bring me only bad news. Good news weakens me.

S. Shriver (quoted in Sarge: The Life and Times of Sargent Shriver)

OIG Overview: Background and Authority

Oversight function to promote economy, effectiveness and efficiency and to prevent fraud, waste, and abuse

Mandated by IG Act, which was created in 1978 and amended in

1988
OIG reports to Congress and the Director of Peace Corps

Working with OIG

There are benefits to working with the OIG

An independent diagnostic of post operations Ability & authority to handle complicated, difficult issues that staff cannot or should not handle Independently & impartially protect the right of employees to a safe and fair workplace

Staff and Volunteer cooperation is essential

Staff is required to cooperate with audits, evaluations and investigations and provide information requested by OIG V/Ts are strongly encouraged to cooperate with OIG & must comply with CDs instruction to cooperate with OIG during an investigation

Reporting to OIG
Staff have a responsibility under Peace Corps policy to disclose to

OIG:

Criminal wrongdoing, serious administrative misconduct, violation of federal law, rules/regulations committed by staff, PCVs, contractors, individuals/entities conducting transactions with PC or receiving PC funds

OIG has established a Hotline to receive allegations:

The Hotline includes a phone number, fax line, email address, Post Office box, and web form found at www.peacecorps.gov/OIG/ContactUs The OIG web form includes a method for anonymously reporting allegations and information

OIG treats all allegations and complaints with discretion to protect identity of the individual

Staff Must Report List

Staff must report the following allegations involving Volunteer to OIG (MS 861):
Sale, distribution, smuggling of illegal drugs, prescription drugs Loss, theft, embezzlement, misuse of PC funds or funds entrusted to V/Ts by

another party Sexual activities or sexual contact with any person under age 18 (Protect Act) Fraternization (see MS 644) Sexual assault, sexual exploitation or stalking Fraud or misuse of the V/Ts position for financial gain Materially misleading or inaccurate information in the application process Theft, serious misuse of PC property or resources, including but not limited to agency IT systems Other violations of PC policies that may have a serious impact on the integrity of programs or operations Any other criminal wrongdoing under U.S. state or federal law

Staff Receiving Allegations from V/Ts

Staff must inform V/Ts that they should report to OIG activity they believe

constitutes a violation of federal law, rule, or regulation; mismanagement; serious misconduct; gross waste of funds; abuse of authority; or substantial and specific danger to the public health and safety relating to the programs and operations of the Peace Corps

Staff who receive or have knowledge of a V/T allegation or concern must treat it with discretion and confidentiality (MS 271): Staff cannot retaliate against Volunteers/trainees who report an allegation

Organizational Structure
Office of Inspector General

Evaluation Unit

Audit Unit

Investigation Unit

OIG Structure: Audit Unit

Reviews financial and program operations to ensure accountability

This includes compliance with contracts and policies in accordance with federal laws and regulations

OIG Structure: Investigation Unit

Investigates allegations of waste, fraud and abuse involving Peace Corps programs and operations

Allegations of crimes or misconduct committed by Peace Corps

staff, Volunteers or contractors

OIG Structure: Evaluation Unit

Analyzes management and operations at overseas posts, headquarters, and domestic offices

Addresses efficiency and effectiveness, identifies best practices,

and recommends improvements to accomplish Peace Corps mission and strategic goals

Measures and reports success using federal laws, regulations, and Peace Corps policies, procedures, and performance measures

Evaluation Unit: Country Program Evaluations

Develop list of planned evaluations during annual planning

process that focus on country program and HQ operations Objectives of the country program evaluation:

To what extent has post developed and implemented programs to increase host country communities' capacity? Does training prepare Volunteers for Peace Corps service? Has post provided adequate support and oversight to PCVs? Are post resources and management practices adequate for effective post operations?

Standards used to conduct the evaluation: PC policies, regulations,

P&T Guides, Characteristics of a High Performing Post

Country Program Evaluation Process Phases

Preliminary Research

Fieldwork

Reporting

Close Out / Tracking

Evaluation Process: Preliminary Research

1. Announcement of the evaluation 2. Request and review documentation 3. Conduct headquarters interviews:
Overseeing Region Office of Programming and Training Support Safety and Security Office of Volunteer Support Volunteer Recruitment and Selection Peace Corps Response Office of Global Health and HIV Office of Strategic Partnerships

4. Preparations for fieldwork

Evaluation Process: Fieldwork

1. Conduct staff and partner interviews:
Majority of staff at post Partners (Government Ministries and NGOs) U.S. Embassy

2. Conduct Volunteer interviews at their sites:

Ideally reach 20% of Volunteer population (20 minimum)

3. Return to posts main office:

Complete documentation review Conduct follow-up interviews Hold exit conference

Evaluation Process: Developing Findings & Recommendations

Criteria
What is the standard, the desired state or
expectation?

Condition
What
is actually happening?

Cause
What created or what is
the underlying reason (s) for the condition?

Effect
What is the impact, result, consequence if left untreated?

Recommendation
What is the solution?

Evaluation Process: Reporting

OIG issues preliminary evaluation report
Agency responds to recommendations in the report

OIG issues final evaluation report

This report includes the agencys response to the preliminary report Recommendations can be closed at this time with sufficient supporting

documentation or are closed according to an agreed timeline

Evaluation Process: Close Out

1. Survey administered to key evaluation stakeholders 2. Chief Compliance Officer (CCO) is liaison between the agency and OIG 3. When a recommendation is implemented, supporting documentation is provided to OIG 4. TeamCentral (web-based program) stores supporting documentation & facilitates the approval process 5. Roles and responsibilities:
Post staff Country Desk Officer Chief of Operations Other approvers (as needed) Chief Compliance Officer OIG

Evaluation Recurring Issues

Posts did not establish, document, train staff on site development

processes Inspections of Volunteer houses were not thoroughly completed and documented before Volunteers arrived at sites Site Locator Forms were missing key information or were ineffective in helping locate Volunteers sites EAPs and consolidation point deficiencies:

Not testing EAP in accordance with agency policy Not providing staff training as frequently as required Updated EAPs were not always distributed to key stakeholders (RSO, etc) Volunteers did not know the location of their consolidation point

Evaluation Recurring Issues (continued)

Posts did not identify & properly orient and train appropriate

counterparts
Improvements were needed in Volunteer training & assessment:

Technical training was not relevant or did not provide sufficient hands-on experience Language training was insufficient Competencies & learning objectives were not developed or aligned with Volunteers work Incomplete and ineffective trainee assessment methods

Evaluation Recurring Issues (continued)

Opportunities to improve coordination with project partners:

Key project partners not sufficiently engaged in project design & implementation Posts did not formally communicate project results and Volunteer achievements to major project partners Posts did not develop & maintain memorandums of understanding with host country ministries & project partners

Contacting the OIG

Report Fraud, Waste or Abuse
Kathy Buller: Email:

Inspector General oig@peacecorps.gov Peace Corps Office of Inspector General P.O. Box 57129 Washington, DC 20037 202.692.2915 www.peacecorps.gov/OIG

Write:

Hotline:

Website/Reporting Form: Intranet:

https://inside.peacecorps.gov/