United States DEPARTMENT of Commerce

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P e r f o r m a n c e S e c t i o n * M Aa Nn Aa Gg Ee Mm Ee Nn T t I Nn tT eE gG rR aA tT iI oO n N G Oo Aa Ll In FY 2007, the Department enhanced the A-123 program by developing a three-year rotational testing plan to incorporate a three-year, risk-based approach based on FY 2006 assessments of the key processes and results of previous audits. Under this approach, high-risk cycles are selected for annual testing; low/moderate-risk cycles are tested every three years, with selected test procedures at specific locations or on specific sub-processes performed as often as needed based on specifically identified risks; a limited controls review assessment survey is utilized for cycles that are not being tested in a given year. The Department’s A-123 Appendix A review and assessment included the following: The Department utilized the Senior Management Council (SMC) to implement, direct, and oversee the assessment process; and the Senior Assessment Team (SAT) to develop A-123 planning documentation, administer internal control test plans, and monitor and review the test work. Updated Department-wide testing templates for selected key processes/sub-processes and modified Departmental sampling plan to ensure consistency including the use of a statistical sample size generator for attributes sampling. Utilized a contractor’s expertise in support of smaller bureaus’ testing and review of the Department-wide testing results and workpapers. Utilized a contractor’s expertise to review Department-wide internal control documentation to assess the structure, breadth, and depth of the bureau-level documentation. The review encompassed comparing documentation practices among bureaus, providing comments on consistency, and whether the cycle documentation contained the expected cycle components. Analyzed the results of the overall effort to assess and document the adequacy of the Department’s internal controls in order to develop the annual statement of assurance issued by the Secretary and published in the Performance and Accountability Report (PAR). Expanded implementation of multi-tier performance appraisal system; 90 percent of the Department’s full-time equivalents (FTE) are now on multi-tier systems. Trained HR staff and managers in category rating and implemented a pilot program to improve hiring processes. Implemented new Human Capital Strategic Plan that outlines what the Office of Human Resources Management (OHRM) intends regarding their three strategic goals: (1) uphold the Department mission and take a leadership role in implementing government reforms, (2) Implement and support HR policies and practices that create a positive workforce culture and establish the Department as an employer of choice, and (3) cultivate an environment that encourages and empowers all Departmental HR employees to become leaders and innovators in the HR community. Created and began implementing action plan addressing 2006 Federal Human Capital Survey results. Received full Office of Personnel Management (OPM) and Office of Management and Budget (OMB) certification for Senior Executive Service (SES) Performance Appraisal System for FY 2007-FY 2008. Conducted, in conjunction with OPM, all six of the accountability audits scheduled for FY 2007 to identify areas for improvement and application of best practices. Identified and reported positions via the Career Patterns Initiative in order to attract and recruit talent. 168 F Y 2 0 0 7 P E R F O R M A N C E A N D A C C O U N T A B I L I T Y R E P O R T
M Aa Nn Aa Gg Ee Mm Ee Nn T t I Nn tT eE gG rR aA tT iI oO n N G Oo Aa L l * P e r f o r m a n c e S e c t i o n Continued implementation of the OMB mandated Information System Security Line of Business (ISSLoB) Federal Information Security Management Act (FISMA) tool to automate certification and accreditation (C&A) standards and security reporting. Implemented Department-wide e-mail system consolidation. OMB considers all Department business cases for major information technology (IT) investments acceptable. This ensures that IT funds are managed and invested wisely. The Department’s major IT investments were, on average, within five percent of cost, schedule, and performance targets. Developed an FY 2007 security awareness training plan, including milestones, for authorizing officials and system owners. Developed IT C&A compliance and oversight controls based on OMB requirements, National Institute of Standards and Technology (NIST) standards, and past OIG recommendations. Installed a Herbert C. Hoover Building network intrusion prevention system for monitoring and reporting IT security violations. The Department uses reviews and reports generated by the OIG, OMB, the Government Accountability Office (GAO), other Congressional organizations, government-wide task forces, and other objective sources to evaluate activities of the Department related to this goal. For example, DM works closely with OMB on implementing the five government-wide management initiatives established in the President’s Management Agenda (PMA). The Department is rated quarterly on its success in implementing these initiatives. In addition, many of the laws pertaining to these activities have separate reporting requirements, which highlight both strengths and weaknesses of the Department’s administrative functions. The Department uses the results of these efforts to assess achievement of performance targets. The performance-based contracting measure was not met in FY 2007. Limitations within the procurement infrastructure, e.g., data accuracy and level of staff expertise, continue to frustrate efforts to meet this goal. These issues are being aggressively addressed within the procurement community. Data on awards to small businesses are not considered to be final until the Small Business Administration issues the Small Business Goaling Report later this year. Preliminary figures, as of November 15th, indicate that the Department achieved 44 percent, pending validation and verification of data in the Federal Procurement Data System (FPDS). The preliminary number suggests that the Department did not achieve the 48 percent target, which was based on the most recent three years of activity that are not necessarily sustainable. It is important to note that significant changes have occurred or are underway which will impact the percentage of the Department’s opportunities available for future small business participation. These include the transition of the Commerce Information Technology Solutions Government-Wide Acquisition Contract (COMMITS GWAC, a small business set-aside) to the General Services Administration, and large contract awards to support the GOES-R Satellite Program, the 2010 Decennial Census, and NOAA’s phased ship replacement. In light of these anticipated changes, the Department plans to negotiate its FY 2008 and out-year small business goals with the Small Business Administration to reflect more realistic goals. The financial management measure of eliminating any significant deficiency (previously referred to as a “reportable condition”) within one year also was not met. The significant deficiency concerns consolidated IT controls. Although the Department has made progress toward eliminating this problem, more requirements were added to the OIG auditors’ review of IT controls in support of the FY 2007 Consolidated Financial Statement Audit when, for the first time, the auditors used NIST Special Publication 800-53, Recommended Security Controls for Federal Information Systems, in conducting the review. The OIG auditors used a risk- F Y 2 0 0 7 P E R F O R M A N C E A N D A C C O U N T A B I L I T Y R E P O R T 169
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United States DEPARTMENT of Commerc
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U.S. Department of Commerce FY 2007
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A P P E N D I X A : P E R F O R M A
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M a n ag e m e n t D i s c u s s i
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Number of Targets Number of Targets
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1,653 892 A P P E N D I X A : P E R
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P e r f o r m a n c e S e c t i o n
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S t r at e g i c G oa l 1
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s t r a t e g i c g o a l 1 * P e r
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Page 207 and 208: Notes to the Financial Statements (
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Consolidating Balance Sheet
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R e q u i r e d S u p p l e m e n t
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I n d e p e n d e n t A u d i t o r
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APPENDIX B: Discontinued or Changed
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A P P E N D I x E : S u m m a r y o
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A P P E N D I X F : G L O S S A R Y
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A P P E N D I X F : G L O S S A R Y
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D E PA R T M E N T O F C O M M E R
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United States DEPARTMENT of Commerce

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