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U.S. Department of Transportation Office of Inspector General

U.S. Department of Transportation Office of Inspector General. AASHTO Internal/External Audit Conference Phoenix, Arizona July 16, 2012 OIG Update and Audit Plan. Joseph Comé Assistant Inspector General for Highway and Transit Audits. OIG Mission.

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U.S. Department of Transportation Office of Inspector General

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  1. U.S. Department of Transportation Office of Inspector General AASHTO Internal/External Audit Conference Phoenix, Arizona July 16, 2012 OIG Update and Audit Plan Joseph Comé Assistant Inspector General for Highway and Transit Audits

  2. OIG Mission The OIG supports DOT in meeting its goals of safety, reduced congestion, global connectivity, environmental stewardship, security, and organizational excellence.

  3. Fed agency says better Big Dig safety oversight necessary 'Cash for clunkers' car dealers investigated Inquiry Finds No Evidence of Undue Influence on Safety Agency Bus Regulator Must Do More to Stop Rogues, Watchdog Says FAA Fails to Properly Monitor Contracting, U.S. Auditor Says Former Owner Convicted in Largest Disadvantaged Business Enterprise Fraud in Nation's History

  4. OIG Organization

  5. OIG Investigative Regional Offices

  6. OIG Recent Accomplishments For the first half of fiscal year 2012: • 83 audit reports with 234 recommendations; • 3 Congressional testimonies; • $1.4 billion in financial recommendations; • 86 indictments and 33 convictions; and • Just over $19 million in fines, restitutions, and recoveries.

  7. Recent FHWA and FTA Audits Refinements to DOT's Management of the Highway Trust Fund's Solvency Could Improve the Understanding and Accuracy of Shortfall. FTA’s Charter Bus Service Regulation on Transit Services. DOT Can Improve Oversight of Denali Commission's Use of Federal Transportation Funds. New York City Fulton Street Transit Center: FTA’s Sustained Focus on Key Risk Areas Is Needed Until the Project Is Completed. Oversight of Federal-Aid and Recovery Act Projects Administered by Local Public Agencies Needs Strengthening. Opportunities to Foster Contract Competition and Maximize Use of Federal-aid Funds.  Financial Analysis of Transportation-Related Public Private Partnerships. DOT Needs to Improve Tracking and Monitoring of Single Audits Findings. Challenges to Improving Oversight of Rail Transit Safety and Implementing Enhanced Federal Role.

  8. Local Public Agency Oversight LPAs administer approximately $8 billion in Federal-aid highway program funds yearly; ARRA added an additional $8 billion. Error rates found in LPA Administered projects reviewed: Source: OIG Report MH-2011-146

  9. ARRA Contract Competition Nearly one-fifth of ARRA contracts awarded by State DOTs received just 1 or 2 bids, which could have significant cost implications. ARRA Contracts by Number of Bids Overall prices for contracts with 1 or 2 bids were, on average, 11 percent higher than prices for contracts that received 3 bids. Source: OIG Report ZA-2012-084

  10. OIG ARRA Investigations • Counter Measures • Criminal checks and Suspension and Debarment checks on prime contractors, subcontractors, and DBEs. • Reviewing Bidding Documents. • Reviewing Certified Payrolls. • Checking Certification and Net Worth Status on DBEs. • Reviewing change orders, supplemental agreements, and claims.

  11. FHWA-Related Audits Underway • Oversight of High Dollar ARRA Projects. • Stewardship and Oversight Agreements. • FHWA’s Full Oversight During ARRA Construction. • The Highway Safety Improvement Program. • TIGER Discretionary Grant Program Oversight. • DOT’s Information Security Program & Practices. • DOT’s Administration of Its Disadvantaged Business Enterprise (DBE) Program.  • Quality Reviews of Single Audits. • FHWA’s Oversight of the Indian Reservation Roads Program. • FHWA’s Oversight of Unexpended ARRA Obligations.

  12. FTA-Related Audits Underway • FTA’s Oversight of Major Projects in NYC: East Side Access. • FTA Oversight of the Dulles Corridor Metrorail Project. • Management of the Metropolitan Washington Airports Authority (MWAA). • FTA’s Regional Oversight of Transit Grants.

  13. Future OIG Audit Work • Accountability- Improper payments; management of change orders; robust fraud reporting. • Performance– Stewardship and oversight of programs; sound performance indicators tied to a risk-based approach. • Operational Efficiency– Consistency; identifying redundant and unnecessary processes; improving deliverables; meeting program goals.

  14. www.oig.dot.gov

  15. Contact Information • National OIG Hotline: (800) 424 - 9071 or (202) 366 -1461 • OIG Hotline E-mail: hotline@oig.dot.gov • OIG Web Page: www.oig.dot.gov

  16. Questions & Comments

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