Description of document: Library of Congress (LOC), Office of the Inspector General Semiannual Report to the Congress For 01-Apr-2006 - 30-Sep-2006 Released date: 28-February-2008 Posted date: 10-March-2008 Date/date range of document: 01-Apr-2006 - 30-Sep-2006 Source of document: The Library of Congress Office of the Inspector General 101 Independence Ave, SE Washington, DC 20540 The governmentattic.org web site (“the site”) is noncommercial and free to the public. The site and materials made available on the site, such as this file, are for reference only. The governmentattic.org web site and its principals have made every effort to make this information as complete and as accurate as possible, however, there may be mistakes and omissions, both typographical and in content. The governmentattic.org web site and its principals shall have neither liability nor responsibility to any person or entity with respect to any loss or damage caused, or alleged to have been caused, directly or indirectly, by the information provided on the governmentattic.org web site or in this file.
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Library of Congress (LOC), Office of the Inspector General ... · wirh rhe means ro objecrively evaluare and allocare budgerary resources. We conduered a review of rhe Library's currem
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Description of document: Library of Congress (LOC), Office of the Inspector General Semiannual Report to the Congress For 01-Apr-2006 - 30-Sep-2006
Released date: 28-February-2008 Posted date: 10-March-2008 Date/date range of document: 01-Apr-2006 - 30-Sep-2006 Source of document: The Library of Congress
Office of the Inspector General 101 Independence Ave, SE Washington, DC 20540
The governmentattic.org web site (“the site”) is noncommercial and free to the public. The site and materials made available on the site, such as this file, are for reference only. The governmentattic.org web site and its principals have made every effort to make this information as complete and as accurate as possible, however, there may be mistakes and omissions, both typographical and in content. The governmentattic.org web site and its principals shall have neither liability nor responsibility to any person or entity with respect to any loss or damage caused, or alleged to have been caused, directly or indirectly, by the information provided on the governmentattic.org web site or in this file.
The Fund is a componenr of the Library's consolidared
financial sraremenrs. The Library processes all of rhe
Fund's financial uansaction. Therefore, rhe two reporrable
condirions related ro Information rechnology that were
idenrified in rhe Library's financial audir also affecred the
Fund's imernal conrrol structure.
SEMIANNUAL REPORT '10 THE CONl;R.hSS II
The US. Capitol: Section of the West Corridor
SE\.flANNUAl Rf.poRr ro THE CON(,RfSS II
INVESTIGATIONS
During this reponing period we opened - and closed - 21 investigations. We referred four cases to
the U.S. Atwrney's Office; of those, three were declined and one is pending. We recovered $4,000 in
telephone credits, and prevented the illegal sale of29 National Library Service for the Blind and Physically
Handicapped (NLS) talking book players. We also forwarded four cases w Library management for
adminisuative action. Case and Hotline activity are detailed below:
TABLE 1: INVESTIGATION CASE ACTIVITY
CRI II \[ (1\11 \() I I I ~ I I
Beginning of period 8 20 28
Opened 7 14 21
Closed 3 18 21
End of Period 12 16 28
TABLE 2: HOTUNE ACTIVITY
(ll I
AJlegations received 2
Referred w management for action 4
Opened as investigations
Closed with no action
II SloMIANNUAI Rt.rORI TO lHE CONGRESS
SIGNIFICANT CRIMINAL AND
ADMINISTRATIVE INVESTIGATIONS
A Cataloging Disrribution Services (CDS) manager
complained ro the Office of me Inspecror General (OIG)
about hundreds of harassing telephone calls from Puerro
Rico to the CDS 1-800 Audix number. The calls incurred
significanr charges billed ro CDS and limited recording
space for legitimate calls. The manager also complained
that over several monrhs, AT&T had not resolved the
problem. OIG special agenrs documenred the offending
calls and worked successfully with AT&T's law enforcemenr
liaison ro obtain a credit for past and furure calls from the
Pueno Rico caller, including a $4,000 credit for prior
charges. Agenrs idenrified and conracted the caller in an
unsuccessful attempt ro srop the calls. We enlisted the
services of the ITS, who responded by setting up an Audix
accounr ro redirect the harassing calls. A local telephone
company in Puerro Rico is conremplating a civil aerion
against the caller. We may pursue criminal charges if the
problem persists.
(.()p\righllntnl1t:l·Il1Ull
A Library conrracror reponed that an audio book that was
narrated exclusively for NLS was for sale on eBay. OIG
agenrs determined that the seller, a convicted felon, had
sold 84 of the copyright-protected items afrer convening
them ro digital audio formar. An Assistanr U.S. Anorney
declined ro prosecute. The seller was banned from selling
on eBay and NLS removed the individual from its Talking
Books program.
[alsif~.Ing Illkr.tll.l11pll" Il11111 1);11.1
The Deparrmenr of Labor (DOL) OIG alerred us to
their arrest of a Library employee for stealing credit card
information from the DOL and making unauthorized
purchases while working there as a conrracror. OIG agenrs
determined that although fired from herconrracror position
at the DOL, she had failed ro disclose the terminarion
when applying at the Library. As a resule, her Library
employmenr was terminated.
l nauth()rl/ed l Sc ()t tbe I.ihl'.ln·~ ;llll(:
The OIG received a complainr alleging unauthorized use of
the Library's name for commercial purposes and solicitation
on Library property. Our investigation determined mat
represenratives of a company that marketed retail sales
discounrs had distributed coupons to Library staff in one
of the Library's buildings. The prinr on the coupons read:
"Complimenrs of the Library of Congress." We referred
the marrer ro the Library's Office of General Counsel,
who responded by enforcing existing Library regulations
disallowing commercial vendors on Library property.
Previously, vendors had been allowed ifa sponsoring Library
organization received a percenrage of sales receipts.
., i~t:ri,ln -Ill)" I I1ICrl1Ct ~C.1111
OIG agenrs acted on a tip from an external law enforcemenr
source that an employee was communicating via Library
e-mail with foreign nationals from Nigeria and Ghana
engaged in an Inrernet fraud known as the "Nigerian 419"
scam. The scammers promised ro send the employee a
large amounr of money after he paid some related expenses,
duping the employee into sending them approximately
$30,000. The employee also provided his Social Security
number, birrh date, and home address, thus exposing him
to idenrity theft and further loss. OIG agenrs coordinated
with the Library's Inrerpretive Services staff ro refer the
employee ro an organization that would help him protect
his remaining assets, and teferred information about the
employee's misuse of governmenr time and equipmenr
to Library managemenr. Disciplinary action is pending.
OIG agenrs also referred specific infotmation about the
scam to the U.S. Secret Service.
I t1SI I 1C;\1 I< '11 1>1 TlIllL IIld \lkl1d.l11l"l [{ce. >Ills
Library managemenr officials alleged that twO employees
had engaged in lime and ;}rrendance fraud. OIG agenrs
examined tecords, security surveillance video tapes, and
SE:I.1IANNUAI Rr.l'ORT 1'0 THE CONGRfSS II
electronic access files, which revealed significant
fraud. Faced with the evidence, both subjects
admitted to falsifying time and attendance records.
An Assistant U.S. Attorney declined prosecution.
One employee retired immediately following the
OIG interview; a removal action has been proposed
against the other.
An unattended trash bin in a public area containing a
large amount ofpersonal information was discovered
by OIG staff. Social Security numbers, credit card
receipts, and personal records were visible. OIG staff
prom pdy advised the responsible manager abou t
proper methods for disposal of personal information
and management immediately tightened security
procedures. The unsecured information may have
exposed individuals to identify theft.
(omputlT I ncidcnt
An automation liaison employee working for
NLS reported a key logger (a spyware tool)
installed on a computer used to process financial
and administrative information. An OIG agent
transported the computer to the Library's Security
Operations Center where it was examined by
a Computer Incident Response Team member.
Examination determined that the key logger had
been installed without malicious intent. Members
of the Security Operations Center and the Incident
Response Team, which includes the OIG, provided
several recommendations to Library management
to prevent a recurrence.
Pnl,lCri\l Inirlltl\c: Intlrnll ~lIt"\l'ill<lncc
We continue to monitor the Internet for stolen
Library property. During this reporting period, we
found 29 NLS cassette players and/or phonographs
for sale on eBay. The sellers were contacted and
directed to return the items to NLS.
Misuse of Government Equipment
We previously reported a case involving evidence
that a GS-14 employee had illegally accessed
another employee's e-mail account and forwarded
a derogatory message from the account to another
Library employee. Management suspended the
employee for 30 days.
Employee Attempts to Destroy Library Books
We previously reported a case involving a Library
employee who had intentionally placed 23 books in
a trash bin. Management removed the employee
from his position for misconduct.
SEMI NNUAI. RJiI'ORl TO rHE CONGtu-.SS II
The U.S Capitol Crypt
SF.M1ANNUAl. REI'Ol1.l' •\0 1liE. CONCRE.S~
FOLLOW-UP ON PRlOR PERlOD RECOMMENDATIONS
Effecring positive managemenr change in Library programs
and acrivities requires a four-phase approach: (I) idenrif}ring
areas rhar could benefir from OIG reviews, rhen planning
audirs, (2) conducting audirs and reponing rhe results,
(3) obraining agreemenr from Library managers ro rake
acrion ro resolve recommendations, and (4) following up ro
derermine rhar implementarion has occurred. Significanr
recommendarions from previous semiannual repons
on which correcrive acrion has nor been complered are
conrained in Table 3 on page 14.
We conducred rhree reviews rhis period ro follow up on
audirs reponed in prior semiannual repons:
VISITOR TUNNEL PREPARATIONS
"linn Report 0.21111') 1)\-1112
.I Ullt 21'"5
In FY 2005 we conducred an audir survey of prepararions
for opening rhe runnel berween rhe Jefferson Building and
rhe Capi£Ol Visiror Center (CVC). We found rhar acriviries
requiring long lead rimes had been planned and execured ro
prepare for opening rhe runnel ro rhe public. We followed
up on rhis survey in Seprember 2006. In our follow-up we
derermined rhar all consuucrion required ro accommodare
rhe runnel had been complered.
In anriciparion of rhe increased number of visirors ro
rhe Library due co rhe opening of rhe evc, rhe Library
is embarking on a program called rhe "New Visirors'
Experience" (NVE) rhar will reconfigure space in rheJefferson
building co add and significanrly enhance exhibirs and rhe
experience of visiring rhe Library. Projecr managemenr for
rhis program is under rhe Librarian's Chief of Sraff. The
projecr will be opened in phases, wirh rhe firsr expecred co
coincide wirh rhe opening of rhe CVC in 2007.
We conducred a survey of rhe sratus of prepararions for rhe
NVE. We imerviewed rhe Chief of Staff, key personnel in
Library Services, and Inregrated Suppon Services' Faciliry
DeSign and Conmuction (FD&C). We reviewed rhe
NVE operaring plan and derermined rhar Library Services
has planned for rhe expecred relocarion of Library sraff
due ro rhe reconfigured space. We found char FD&C has
worked wirh rhe NVE ream in developing scopes of work
and conuacring wirh archirecrural and engineering design
firms. The NVE ream has developed an inrraner Web sire
as a means ofcommunicaring currenr NVE news co rhe sraff
and inrroduced rhe NVE rheme "Bringing Knowledge Inro
Life:' ro Library sraff ar a Town Hall Meering in Augusr.
Based on our survey work, we believe char rhe planning
framework esrabJished by rhe NVE ream is effecrively
addressing rhe Library's plans for rhe NVE. We will
conrinue ro follow rhe Library's progress in FY 2007.
EDUCATION AND RESEARCH
CONSORTIUM OF THE WESTERN CAROLINAS
Rcpl'rl fl. 21J1)() (>1 -~()I
f i~c.t1 'r'L;\r 2111)') Illdirect Cost R,lte
In FYs 2000 and 2002, rhe Library awarded rhe "Advenrure
of rhe American Mind" and rhe "Nonh Carolina
Telecommunicarions Projecr" grams ro ERe. Borh grams
incorporare Office of Managemenr and Budger Circular
A-133 requiremenrs. These requirements, among orhers,
mandare rhar an enriry's Federal cognizam agency is
responsible for negoriaring and approving irs indirecr cosr
rares. As rhe cognizanr agency for ERC, rhe Library is
responsible for approving indirect cost rates on behalf of all
federal agencies providing funding co ERe.
We evaluated ERe's FY 2005 indirect rate proposal and
found errors in equipmenr classification and other issues.
ERC agreed wirh our findings and revised its FY 2005
indirecr rare proposal. We negoriated a rare .36 percenr
lower than rhe revised rare.
SI"flANNUAl RI'PORI ['()IHL C r ONCR~SS II
SUCCESSION PLANNING
Audit Report o. 200'+-PA-l 05 \larcb 2005
In March 2005, we issued an audit reporr on me Library's
succession planning efforrs. Our objective was ro
determine if the Library had a srrategy ro deal with the
emerging challenges of mainraining its workforce inro the
21 St cenrury.
We found that the Library's service units (aside from the
Congressional Research Service and Copyright Office)
did not have succession plans, and had not idenrined
critical posirions ro ensure continuiry of leadership and
knowledge. Therefore, we recommended that the Library,
with Human Resources Services at the helm, prepare a
formal succession planning program. This program would
provide guidance on succession planning ro Library offices.
We also recommended that Library offices link succession
planning ro their training and srrategic plans and also
identify mission-critical positions.
So far, the Library has resolved cwoofour recommendations.
The Srrategic Planning Office (SPO) recommended that
Library offices' FY 2007 Annual Program Performance
Plan objectives focus on workforce developmenr and
succession planning, and Library offices are now linking
some componenrs of succession planning to their rraining
and strategic plans. At the same time, Library offices are in
the process of idenrifying their mission-critical positions.
Nocwithstanding progress in those areas, the Library has srill
not implemented a formal succession planning program.
The Deputy Librarian has, however, agreed ro include key
succession planning componenrs - the idenrincation of
key skills, knowledge and training needs, and leadership
competencies - in the Library's Workforce Transformation
Iniriarive. We will evaluate the effect of these acrions once
that initiative is under way.
READING ROOM UTILIZATION
\udlt Rcrort '\Jo 2003-PA-lO.+
\1arch 200.+
In March 2004, we issued an audit reporr on the utilization
of the Library's reading rooms. Library Services has 20
reading rooms/information cenrers, the Congressional
Research Service (CRS) cwo, and the Law Library one.
The objecrive ofour audit was to determine whether reading
room space is utilized in the most efficienr way possible.
We found that, in general, Library Services and the Law
Library accumulated inconsistenr and inaccutate reference
statistics. Nocwithstanding the limited usefulness of the
statistics, we found that there was evidence of a substanrial
decline in the number of in-person visits ro the Library.
We recommended that Library Services and the Law
Library obtain more accurate and useful reading room
usage data. We believe the use of a uniform sampling
methodology would improve the reliability and efficiency
of reference counrs and create greater uniformity across
reading rooms. Furrhermore, we recommended that CRS,
the Law Library, and Library Services perform structured
requiremenrs analyses to determine reading room space
requiremenrs. For many years, most of the Library's
reading rooms have been in the same physical location and
connguration, bur their space requiremenrs had not been
formally evaluated. Finally, we recommended that Library
Services develop a decision model to help make decisions
about space usage. A standardized model would help
managemenr more objectively and consistently determine
the most appropriate use of space.
Since rhen, CRS and the Law Library have implemenred
the spirit of our recommendations. Library Services has
implemenred a system to better measure reading room
usage, however, more than cwo and a half years after we
issued our reporr, the remaining recommendations ro
Library Services remain open.
SEMIANNUAL REPOI<J 10 ['HI:. CONGR.I:.SS II
UNIMPLEMENTED RECOMMENDATIONS
TABLE 3: SIGNIFICANT RECOMMENDATIONS FROM PREVIOUS SEMIANNUAL
REpORTS FOR WHICH CORRECTIVE ACTION HAs NOT BEEN COMPLETED
R Vll I I !{[ • >.
I I) II
Office of the Librarian
Dispute Resolution Center
2002-PA-I04 September 2003
Office of Workforce Diversity
III Revise LCR 2020-7 to allow complainants to use dispute resolution during the formal EEO complaint process.
Learning at the Library 2001-PA-lOS
April 2003
Operations Management and Training
LG Provide training to new supervisors. I
Equal Employment Opportunity Complaints Office
2001-PA-I04 February 2003
Office of Workforce Diversity
Evaluate and revise LCR 2010-3.1.2
Succession Planning 2004-PA-lOS March 2005
Office of the Librarian
1.1 Mandate a Library-wide succession planning program that endows Human Resources Services with a strong leadership role. 3
Office of Strategic Initiatives"
FY 2004 Financial Sta tements/ Info. Technology
2004-FN-S02 February 2005
Information Technology
Services Fully implement an entiry-wide security program.
Integrated Support Services
Inventory and Equipment Management
2004-PA-I03 March 2005
ISS 1.2 Reevaluate space needs for the future warehouse planned at Ft. Meade.
Transportation Services 200S-PA-I01 March 2006
ISS LB Document policies and procedures and centralize transportation activities.
I The Library has implemented a new training program for new supervisors. Included are online training courses and instructor-led
training. Due to budgetary constraints, the instructor-led portion has been delayed until later in FY 2007. Once fully implemented,
this program will satisfy the intent of our recommendation.
2 LCR 201 0-3.1 is currently being revised .
.1 See page 13 for a discussion of this topic.
"(a) The Library's external auditors modified and consolidated current and prior year financial statements findings into the one
finding shown here. (b) Due to the implementation of the Library's new financial system, the auditors' opinion on the Library's
FY 2005 financial statements was not released until May 2006. (c) According to ITS, substantial progress was made during FY
2005 toward implementing this recommendation. The external auditors, conducting the FY 2006 audit of the Library's financial
statements, are currently reviewing documentation supporting this assertion.
II SEM[ANNUAL RhPORT [0 fHF CONGRESS
TABLE 3: SIGNIFICANT RECOMMENDATIONS FROM PREVIOUS SEMIANNUAL
REpORTS FOR WHICH CORRECTIVE ACTION HAs NOT BEEN COMPLETED (CONTINUED)
R
I. I
(l
I) J I ~I, \ If I I Rrc. R.
Office of the Chief Financial Officer
Management 2004-PA-I06 Strategic Revise the MCP Process to better identify Control Program March, 2006 Planning Office control weaknesses.
Management Control Program
2004-PA-I06 March, 2006
Strategic Planning Office
II Implement an automated tracking system.
Management Control Program
2004-PA-l 06 March, 2006
Strategic Planning Office
III Implement a verification review process.
Management Control Program
2004-PA-I06 March,2006
Strategic Planning Office
IV Improve the MCP communications mechanism.
Management Control Program
2004-PA-I06 March,2006
Strategic Planning Office
V Report implementation delays to the Librarian.
Office of Security and Emergency Preparedness
Management of Police 2003-PA-I05 August 2004
OSEP 53,545 Develop a mission statement and engage in a greater level of strategic planning.
Emergency Preparedness Program
2005-PA-l 04 March 2006
OSEP Develop a regulation defining and designating authoriry for the Emergency Preparedness Program.
Emergency Preparedness Program
2005-PA-I04 March 2006
OSEP III Develop or obtain a threat/risk assessment.
Emergency Preparedness Program
2005-PA-I04 March 2006
OSEP VI Develop an annual training plan and provide more emergency response training.
Emergency Preparedness Program
2005-PA-l 04 March 2006
OSEP VII Improve communications and training for disabled staff and disability monitors.
Emergency Preparedness Program
2005-PA-I04 March 2006
OSEP VIII,IX Develop an MOU with the Capitol Police and the Architect of the Capitol to clarify authority for direcring emergency situarions.
Library Services6
Utilization of Reading Rooms
2003-PA-I04 March 2004
Library Services II.l Develop a decision model for determining reading room space requirements.
Utilizarion of Reading Rooms
2003-PA-I04 March 2004
Library Services IL2 Use the model ro make decisions about reading room, office space, and storage requirements.
5 Recommendation numbers refer to an external consultant's report.
6 See page 13 for a discussion of this topic.
ShMJANNUAL. REPOR'1 fO fHE CONGIU.SS II
The U.S. Capitol Dome viewed from the south
II S~\;I1A NLlAI R~I'ORI TO ("HE CONCRESS
FUNDS QUESTIONED OR PUT TO BETTER USE
TABLE 4: AUDITS WITH RECOMMENDATIONS FOR BETTER USES OF FUNDS
R In
... for which no management decision was made by the starr of the period.
.. .issued during the period.
Subrotal
... for which a management decision was made during me reporring period:
Value of recommendations agreed [Q by managemenr. 1
HII \ I I
$4,000
Value of recommendations not agreed to by management.
· .. for which no management decision was made by the end of the reporting period.
... for which no management decision was made within six months of issuance.
TABLE 5:
R
AUDITS WITH QUESTIONED COSTS
· . Jor which no management decision was made by the start of the period.
.. .issued during the period.
· .. for which a management decision was made during the reporting period:
Value of recommendations agreed ro by management.
Subrotal
Value of recommendations nor agreed ro by managemenr.
... for which no management decision was made by the end of the reporting period.
.. .for which no management decision was made within six months of issuance.
I See "Telecomunications Abuse - 800 Number" on p. 9.
SEMIANNUAl. REpORT TO THE CONGRf.SS II
INSTANCES WHERE INFORMATION OR
ASSISTANCE REQUESTS WERE REFUSED
There were no instances during the period concerning the Library's unreasonable refUsal to provide
informacion or assistance, or any other refusal from a Federal, State, or local government agency.
STATUS OF RECOMMENDATIONS
WITHOUT MANAGEMENT DECISIONS
During the reponing period there were no recommendations more than six months old without management
decisions.
SIGNIFICANT REVISED MANAGEMENT DECISIONS
During the reponing period there were no significant revised management decisions.
SIGNIFICANT MANAGEMENT DECISIONS
WITH WHICH OIG DISAGREES
During the reponing period there were no significant disagreements with management about decisions
on OIG recommendations.
II S~.MIAN UAL REPOR[ 10 IHf CONGRESS
OTHER ACTIVlTIES
NEWSLINE FINANCIAL INFORMATION
~pL'(:ul RUlc\\" Rc:p"n 11.211(1(,-[
'ul~ 21I(J()
Pursuant to a request by the Chairman of the House
Appropriations Committee (Committee), the OIG
conducted a special review of financial information about
the NEWS LINE fund of the appropriation for the NLS.
The Chairman requested an explanation for the erroneous
information that the Library reponed to the Committee
in May 2006. The information involved $993,500 that
was made available for NEWS LINE's operation through
rhe FY 2003 appropriation. The Chairman specifically
asked whether rhe NEWSLINE account was properly
established in rhe Library's previous financial system and
properly convened ro irs new sysrem. He also requesred
rhar each rransaction be identified rhar should have been
recorded in rhe account, rhe locarions be identified where
rhose rransacrions were recorded in the financial sysrem,
and rhe reason for rheir erroneous recording.
We derermined rhar:
The NEWSLINE fund was nor properly esrablished in
rhe former financial sysrem, but a correction was made
prior ro conversion to rhe new financial sysrem.
Because of rhe way rhe correction was made, some of
NEWSLINE's financial informarion was nor properly
convened ro rhe Library's new financial sysrem.
Three NEWSLINE expenditures roraling $993,500 were
incorrecdy recorded.
As a resulr of rhese errors, rhe Library correcred rhe
NEWSLINE aCCount and enhanced irs procedures for
identifYing and correcring errors in irs financial sysrem. In
spire of rhe error in rhe conversion of rhis informarion, we
confirmed rhar the resulrs COntained in rhe OIG repon,
"Financial Sysrem Conversion Reconciliarion," reponed in
our March 2006 Semiannual Repon, are valid.
CONVERSION TO DIGITAL TALKING BOOKS
~Ul'\ \ Report '.,rl. 2111!(I-P\ Ill!
\UL,U't 21111()
We performed a survey of rhe NLS projecr ro conven and
replace rhe primary rechnology used in rhe narionallibrary
program that provides talking books, playback equipment,
and Braille marerials for blind and physically handicapped
patrons. NLS' plans call for digiral books and equipment
to begin replacing analog cassette books and machines in
FY 2008 and become rhe program's primary rechnology
by FY 20 II. Based on our survey, we derermined rhar an
audir of rhe projecr is nor necessary ar rhis time.
Informarion we collecred led us to conclude rhar NLS'
plans should enable ir to successfully converr rhe talking
book program's primary rechnology from analog to digital
formar over rhe currently planned transirion period.
Specifically, our survey revealed rhar NLS is effectively
managing irs plans ro:
· develop a digiral playback machine and relared
equipment,
· tesr and validare rhe new playback machine rhroughout
irs evolurion from design to full producrion, and
· produce 20,000 talking book tides in digital formal by
the time the new playback machine becomes available in
FY 2008.
Despite NLS' progress in these areas, we are concerned
rhal an acquisirion plan has nor been prepared for rhe
manufacturing phase of rhe digiral equipment. Acquisirion
planning is a requirement of the Federal Acquisirion
Regularion (FAR) for all acquisirions made by execurive
branch agencies. Moreover, il is Library policy [Q follow
rhe FAR in rhe procurement of goods and services unless
ir is formally derermined rhar following ir is nor in rhe
Library's besr interest. The Chief of rht: Library's Office
of Contracrs acknowledged rhar acquisirion plans are
required by the FAR, bur nored rhar because rhe Direcror
SEMIANNUAL REPORT TO tHE CONGlU-.SS II
posirion is vacam for rhe Office of Conrracrs and Grams
Managemenr, FAR-specified inrernal procedures have nor
been esrablished for rhe Library ro address rhe regularion's
requiremenrs.
Ir is clearly in me Library's besr inrerest ro have a wrinen
acquisition plan for the manufacturing phase of the digiral
equipmenr, and rhe lack of inrernal procedures should nor
prevenr me Library from preparing one. By preparing
an acquisirion plan for rhis major acquisirion of digiral
equipmenr - esrimared ro cosr $140 million over five years
- rhe Library would nor only be following the FAR and its
own policy, but would also be in line with standard federal
agency practice. Therefore, we recommended that NLS
work closely wirh rhe Chief of the Office of Conrracrs
ro promprly prepare a wrinen acquisirion plan for the
manufacruring phase of the digital playback equipmenr.
ACQUISITION OF MAxIMO
P1"I'1<'" <I 21111h .1' XIII
Pn 'i~cl 1>1111 RL \ I~\\
At the request of rhe Library's Chief Financial Officer, we
performed a review of the Maximo acquisition process.
Maximo, a sofrware package rhat inregrates with rhe
Library's new financial system, was inrended ro be the
Library's choice as an invenrory- and asset-managemenr
system. We began our review in December 2005 in
response LO the Chief Financial Officer's concern rhat the
Library's pace of assessing the possibility of implemenring
Maximo was stalling.
We determined that although the Library had acquired
Maximo in 2004, ir had not yet implemenred the sofrware.
In June 2006, we advised the Deputy Librarian that the
Library had not fully analyzed and compared its asset
managemenr requiremenrs ro Maximo's capabilities.
Subsequenrly, the Library's Executive Committee decided
that the Library needed ro renew anent ion to rhe Maximo
invesrmenr, and a project was initiared at the commirtee's
direction to analyze the Library's asset-managemenr
requirements.
ANNUAL FINANCIAL STATEMENTS AUDIT
I~~r/)rt /). 2011( I I ..,0")
RL ~ILlL 'I f"f PI"< '1" >'al
In FY 2006 we senr a Request for Proposal (RFP) to five
audit firms for bids on the next five-year conrract for
financial sratemenrs audits of the Library of Congress,
James Madison National Council Fund, and the Open
World Leadership Cenrer. The RFP was completely
rewrinen from prior years based on guidance from The
Presidenr's Council on Inregrity and Efficiency and the
Executive Council on Inregrity and Efficiency.
The primary changes were in the presenrarion of a more
detailed list of deliverables for each audit, with a suggested
rime line, in order to ensure timely delivery of a quality
audir. The paymenr schedule was changed from one based
on paymenr for hours worked, to one based on sarisfactory
acceptance of deliverables. The minimum conrract
deliverables and estimated due dates were described in
derail to enable the successful bidder to amici pare rhe
conrracr requiremenrs. We expecr rhis change in srrucrure
to allow us to more closely match rhe disbursement of
funds wirh rhe receipr of deliverables and rherefore bener
monitor the contractor.
The proposals received were evaluared by the Technical
Evaluation Panel, which scored each bidding firm by three
separare, weigh red facrors including relevanr experience
and past performance, corporare resources and staff
qualificarions, and technical approach. While COSt was a
subsranrial factor, it was considered along with rhe factors
lisred above. A conrraer was awarded to the successful
bidder, pending passage of rhe FY 2007 appropriarion
bill.
Sf.M1ANNUAI RFPOKI TO fHE CONGRESS II
REVIEW OF LEGISLATION AND REGULATIONS
TABLE 6: REVIEW OF LIBRARY OF CONGRESS REGULATIONS
II R R
LCR 1811 Employee Identification Cards
LCR 2013 Pay Administration
LCR 2010-7 Employment of Non-U.S. Cirizens Using Appropriared and Non-Appropriared Funds
(. , ,'I I I II () I" II I' 'I I (R I,
The Office of Security and Emergency Preparedness is proposing [Q updare the regulation on employee identificarion cards. We recommended against issuing the proposed draft because it did not vesr the Office of Security and Emergency Preparedness with enough authority to prorect the integrity of the badging function.
Human Resources Services is proposing [Q replace 30 regulations on pay administration with one comprehensive policy. We suggested adopting language contained in the Government Accoumability Office's pay administration policy [Q explain which federal statutes rhe Library musr follow. Additionally, we suggesred insening hyperlinks to federal pay regulations posred on rhe Federal Regisrer's Web sire.
We had no comments on rhis proposed regularion.
SEMIAN UAL RI:.I'ORT ro THE CONGRESS II
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II SF\llA~NUAL R~.pORr ]"0 JH~ CONGRESS
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SEMIANNUAl REPORf ro THE CONGRESS II
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