This is the accessible text file for the semiannual report issued by the Library of Congress Office of the Inspector General (OIG) March 2021. Office of the Inspector General Semiannual Report to Congress March 2021 The Library of Congress Office of the Inspector General showcases the Library collections documenting past U.S. presidential inaugurations. A large number of the images in this report are found in the Library's recently completed decades-long project to place its collection of the papers of 23 presidents online. Those collections�totaling more than 3.3 million images�are now available online and hold some of the most important manuscript treasures in the nation. The collection begins with George Washington and ends with Calvin Coolidge. The National Archives and Records Administration, founded in 1934, administers a system of presidential libraries that house and manage the records of presidents from Herbert Hoover onward. Office of the Inspector General Library of Congress March 30, 2020 MESSAGE FROM THE INSPECTOR GENERAL A year ago in our Semiannual Report to Congress we highlighted the Library�s exhibits and celebration of the anniversary of the voting rights act and the suffrage movement leading to that seminal event. The Library states: �Although few of the women who began the suffrage campaign before the Civil War lived long enough to witness its final victory in August 1920, their work was carried on by their daughters, granddaughters, and other women whom they had inspired, nurtured, and taught. Their collective story is one of courage, perseverance, savvy, creativity, and hope that continues to inspire women today.� The last six months were historic in that the country elected not only its first woman as Vice President, but also a woman of color. Leading up to the inauguration and in preparation, the Library hosted the soon to be, first-ever Second Gentleman of the United States, Douglas C. Emhoff, who visited to research the role of the second spouse. The Library also helped by providing information and content in preparation for the historic inauguration. On January 6, 2021, the Capitol was breached for the first time since the War of 1812 when the British seized and burned the building, including the Library�s collection. We thank the United States Capitol Police and the Library�s security and operations personnel for safeguarding the Library�s facilities and collections, which were not affected during the breach, and for the security provided by the National Guard, who bivouacked at the Library in the weeks following the breach. During this semiannual period, we reported on our testing of the Library�s Legislative Branch Financial Management System and on the Library�s response to an anonymous sexual harassment complaint involving reading room staff. We also issued a report on the Library�s information technology modernization effort. The Library implemented one of our recommendations from prior semiannual periods. Kurt W. Hyde Inspector General Profiles Library of Congress The Library is the research and information arm of the United States� national legislature and the world�s largest knowledge reserve. The Library�s mission is to engage, inspire, and inform Congress and the American people with a universal and enduring source of knowledge and creativity. This mission is accomplished through the work of approximately 3,200 permanent employees. Founded in 1800, the Library is also the nation�s first federal cultural institution, holding more than 167 million physical items on approximately 838 miles of bookshelves. These items include books and other print materials, recordings, photographs, maps, sheet music, and manuscripts. The Library occupies three buildings on Capitol Hill and Taylor Street Annex in Washington, DC and the Packard Campus of the National Audio-Visual Conservation Center in Culpeper, Virginia. In addition, the Library operates six overseas offices and stores collections material in purpose-built facilities in Maryland. [foonote 1] The Library has six primary components: Office of the Librarian Chief Operating Officer Service Unit Office of the Chief Information Officer Library Collections and Services Group, which manages three traditional library operations: Law Library Library Services National Library Service for the Blind and Print Disabled U.S. Copyright Office Congressional Research Service The Office of the Librarian provides leadership and executive management to the Library, overseeing the implementation of the Library�s mission. It includes the Principal Deputy Librarian, the Office of Communications and External Relations, and the Office of the Chief of Staff. The Office of the Chief of Staff includes two centers that focus on user engagement and fostering access to the Library�s collections for research, teaching, and visitor education: the Center for Exhibits and Interpretation and the Center for Learning, Literacy, and Engagement. Additionally, the Library has materials stored (per interagency contracts) in Cabin Branch and Landover, Maryland and Pittsfield, Massachusetts as well as per contract in Fredericksburg, Virginia. The Library also has materials stored in its overseas offices. The Chief Operating Officer Service Unit manages and administers the Library�s non-information technology infrastructure functions and daily operations, including oversight of the Human Capital Directorate, the Financial Services Directorate, the Contracts and Grants Directorate, the Integrated Support Services Directorate, the Security and Emergency Preparedness Directorate, and Library Enterprises that operate on a cost recovery basis. The Office of the Chief Information Officer has agency-wide responsibility over all aspects of managing Library digital strategy and IT strategies and resources. This includes development and implementation of the Library of Congress IT strategic plan, guiding Library leadership on digital futures, advising on the technology market, and serving as a solution broker for the agency. It also includes assessing, designing, developing, maintaining, standardizing, optimizing, and protecting the Library�s IT resources. IT resources include all Library budgetary, personnel, equipment, and facilities resources and services that are primarily used for the management, operation, acquisition, disposition and transformation or other activity related to the lifecycle of IT. The Library�s digital collections content is managed by the appropriate service unit with statutory or curatorial responsibilities for a given collection. The Library Collections and Services Group (LCSG) oversees units responsible for acquiring, stewarding, describing, and serving Library collections and manages fellow�ships and internships. The LCSG includes: the Law Library, which assists Congress and the legislative process by providing comprehensive research on foreign, comparative, international, and U.S. law and other legal reference services; Library Services, which performs the traditional functions of a national library, such as acquisitions, cataloging, preservation, and reference services for both digital and conventional collections and operates the National Audio-Visual Conservation Center and the American Folklife Center, among other programs; the National Library Service for the Blind and Print Disabled, which is a national program that circulates books and magazines in braille and audio formats to people with temporary or permanent low vision, blindness, or a physical disability that prevents them from reading or holding the printed page; and t The John W. Kluge Center, which brings together the world's best thinkers to contribute to the conversation about the challenges facing democracies in the 21st century through residential fellowships, lectures, and other research opportunities. The U.S. Copyright Office administers the nation�s copyright laws for the advance�ment of the public good, offers services and support to authors and users of creative works, and provides expert impartial assistance to Congress, the courts, and Executive branch agencies on questions of copyright law and policy. The Congressional Research Service supports the legislative process by providing, exclusively to Congress, objective, confidential, and nonpartisan assessments of public policy issues and legislative options for addressing those issues. Office of the Inspector General The Library�s Office of the Inspector General (OIG) was established in 1988 as a non-statutory office deriving its authority from the Librarian of Congress. OIG became statutory with the passage of the Library of Congress Inspector General Act of 2005 (2 USC section 185), with a mandate to independently: conduct and supervise audits and investigations of fraud, waste, and abuse relating to the Library; lead, coordinate, and recommend policies to promote economy, efficiency, and effectiveness; and keep the Librarian of Congress and the Congress fully and currently informed about problems and deficiencies relating to the administration and operations of the Library. At the end of 2019, the Library of Congress Inspector General Act was amended for the first time since its enactment, giving the office, increased parity with Executive Branch IGs, statutory law enforcement authority, and defined independence with respect to budget and hiring. Through the Council of Inspectors General on Integrity and Efficiency (CIGIE), we are part of a community of Inspectors General, who collectively oversee operations with the Executive and Legislative branches. In the years to come, we look forward to continuing our efforts to provide independent and effective oversight, such as through our Semiannual Reports to Congress as required by the Inspector General Act. Every six months we provide Congress with this report detailing our independent oversight of the Library. The semiannual report presents information on: the Library�s top management challenges; significant audits, investigations, and other activities of the OIG; OIG�s review of legislation and regulations affecting the Library; and Library decisions on OIG recommendations and the status of implementation, along with any resulting monetary benefits. The Audits Division conducts in-depth reviews that address the efficiency, effectiveness, and economy of the Library�s programs, activities, and functions; provides information to responsible parties to improve public accountability; facilitates oversight and decision-making; and initiates corrective action as needed. The Audits Division also contracts with an independent public accounting firm that examines whether financial statements fairly present financial positions, results of operations, and budgetary resources. The firm also assesses whether the Library and other entities have adequate financial reporting internal control systems that comply with applicable laws and regulations. OIG reports are available at www.loc.gov/about/oig. The Investigations Division addresses alleged or suspected wrongdoing by agency employees, contractors, or others responsible for handling federal resources. Violations of Library regulations or fraud committed against the Library can result in administrative sanctions and criminal or civil prosecution. Contact information for the OIG Hotline is located on the inside back cover of this report. Top Management Challenges OIG assesses certain top management challenges for each semiannual report. For this report, we assessed IT Modernization. The Library has five other top management challenges: Strategic Planning and Performance Management. Many of the Library�s management challenges over the years have flowed from a historic lack of proper strategic planning and performance management. Digital Strategic Planning and Execution. A more strategic approach to digital services and collections is necessary because of the pace of digital innovation and the need for the Library to act on many fronts to execute a timely and cost-effective digital transformation. Collection Services Workflow. The Library needs to broaden its capability to perform end-to-end monitoring of its collections services workflow in order to better manage its arrearage and number of items collected and stored. We identify Library Services' collections storage activities as being part of a supply chain of processes that include selection, digitization, preservation, and storage services, among other processes. U.S. Copyright Office's Modernization Program. In fiscal year (FY) 2018, The Office of the Chief Information Officer (OCIO) and the U.S. Copyright Office (USCO) initiated a joint effort to develop a future-state version of USCO's IT system as part of USCO's larger modernization program. The program poses a top management challenge because of the complexity, magnitude, and importance of the program to fulfilling USCO's mission. Financial Management and Reporting. A reliable system of internal controls over financial reporting is vital for an agency to accurately and reliably report on its financial transactions and position. We are monitoring the Financial Services Directorate�s (FSD) progress in strengthening its financial management and reporting processes. IT Modernization [footnote 2] The Library needs to make effective use of modern IT to achieve its mission�engage, inspire, and inform Congress and the American people with a universal and enduring source of knowledge and creativity. The OCIO plays a pivotal role as the agency�s centralized hub of technology professionals working to transform the Library into a data-driven, digitally enabled institution. The OCIO builds, develops, and sustains the IT necessary for the Library to meet its mission and provides the strategic leadership, governance, and management for technical innovation across the enterprise. It also delivers IT security, network and technology infrastructure operations, and end-user services for all Library employees and certain external legislative branch entities. The Library Has Taken Steps to Address This Long-Standing Top Management Challenge We have designated IT modernization as a top management challenge for the past eight years, and the Library has been addressing it in earnest over the last four years. [footnote 3] As reported in previous semiannual reports, the key to the Library successfully devel-oping a modern IT environment is for OCIO to use a strategic approach to improving its IT governance; establishing accountability for IT investments; implementing well-designed, secure, and business-driven networks and computing facilities; and employing IT best practices. The Library has taken progressive steps to address key points to this challenge.[footnote 4] Leading up to FY 2016, the Library recognized that it needed to make a number of significant changes to IT operations and service. It had 169 Government Accountability Office (GAO) and OIG recommendations to address. Since that time, the Librarian has required a keen focus on improving the Library�s IT effort. As such, the Library made significant strides�it not only attacked the "low-risk, high-yield opportunities" but also made some major organizational, process, and operational changes in accordance with current government practices. As a result, of the recommendations made as of the end of FY 2015, the Library has closed 104 of 107 GAO recommendations, and 57 of the 62 OIG recommendations. Subsequently, the OIG has made a number of recommendations that OCIO has made progress in closing. In FY 2017, one of the many positive steps OCIO took was to establish a centralized Project Management Office (PMO) responsible for ensuring oversight of IT projects and investments. This was a significant investment of what is now 30 full time equivalents (i.e., employees) and $19.2 million. [footnote 5] Establishing the PMO was necessary and mirrored what executive branch agencies have done as part of implementing the Government Performance and Results Act. But as identified in our latest reviews, the Library needs to exercise more robust implementation and leadership of the project manage-ment principles, policies, and procedures that it has established through the PMO. [footnote 6] More Work Is Needed to Strengthen Program and Project Management During a time of increasingly strained budgets, the Library cannot afford IT projects that are over budget. Managing IT costs effectively has been an ongoing concern at the Library. It involves a disciplined approach to collecting accurate IT cost data and assessing budget variances. GAO has repeatedly stated that agencies that do not follow program and project management practices have an increased risk of cost overruns, schedule delays, and project failure. To modernize its IT infrastructure and operations, the Library must continue to mature IT management processes: governance, financial management, human capital management, and service design and delivery, all of which must be synchronized to have an effective project management effort. Otherwise, the Library�s IT moderniza-tion effort will be at greater risk of the problems referred to by GAO. For example, OCIO�s modernization planning did not fully identify the Library�s IT modernization and operational costs for FY 2020 and, consequently, the Library requested an addi-tional $7 million on top of its FY 2020 base funding. This occurred at a time when the Library�s budget has been under increasing strain. Although the Library�s annual appropriations have increased in recent years, the Librarian stated in testimony that the Library had to absorb approximately $122 million in mandatory pay and price level increases between FY 2010 and 2017. In its FY 2020 budget, the Library requested $26.2 million in mandatory pay and price increase ($18.42 million in pay and $7.78 million in price increase). The FY 2020 enacted budget was $27.718 million less than what was requested. A more effective OCIO program and project management effort should reduce the risk of needing unplanned IT-related funding, which the Library may not receive in future years. As part of our continuing efforts to address the IT Modernization top management challenge, we recently completed an evaluation of OCIO�s IT modernization activities. [footnote 7] We evaluated 14 IT projects and efforts to determine whether OCIO had a logical and measurable methodology to ensuring progress towards a modern IT infrastructure. We did so by comparing OCIO�s planning activities with industry practices for project, schedule, and cost management. We noted in our report that OCIO has taken positive steps to better align its IT modernization strategy with operational goals and objectives. The OCIO�s IT Directional Plan establishes and aligns the OCIO�s strategic and operational goals, objectives, and initiatives with the Library of Congress�s FY 2019�2023 Strategic Plan and its companion document, the Library�s FY 2019�2023 Digital Strategic Plan. We also noted, however, that the Library needs stronger program [footnote 8] and project management. In our report, we note that the OCIO does not have an effective implementation plan because it lacks the project-level guidance necessary for OCIO to manage individual projects in a manner that aligns with its goals and objectives and with the Library�s cost management needs. Efforts to strengthen IT program and project management capabilities have been well underway in the Executive Branch, and further embraced by the Program Management Improvement Accountability Act of 2016, and while OCIO has moved forward with initiating and implementing a project manage-ment office, the need for greater leadership and quality continues. In March 2015, GAO made 31 recommendations to improve the Library�s IT management. Of these, only two remain open�both of which relate to cost estimating. [footnote 9] One recommendation pertains to the Library�s policy for developing cost estimates and the other relates to maintaining project schedules. The two relate because a cost estimate cannot be considered credible without a comprehensively prepared schedule with identified cost effects, such as schedule slippage. Since 2009, GAO has issued guidance for the federal government to develop, manage, and evaluate more reliable cost estimates. GAO periodically assesses the Library�s attempts to close the recommendations, but the Library has not been able to demonstrate appropriate implementation. As part of our evaluation, we identified numerous cost estimating practices outlined in GAO�s Cost Estimating and Assessment Guide that the Library needs to follow in a more structured and consistent manner. [footnote 10] We also could not correlate the Library�s IT cost estimates with its FY 2020 budget. For the Library to exercise greater discipline over its IT-related costs, FSD must play a leadership role. FSD is critical to implementing the necessary cost practices outlined by GAO. [footnote 11] FSD needs to take a greater role in project cost management across the Library, especially in the preparation and review of project financials for those efforts that involve the Library�s IT modernization and related operational initiatives. FSD and OCIO should define the cost elements required to develop the underlying premises, business factors, and assumptions for the basis of estimating project costs across the Library. The imperative now is for FSD to develop interim procedures to address gaps with current cost management processes at the Library. The Schedule Assessment Guide highlights in particular the usefulness of creating an Integrated Master Schedule [footote 12] (IMS) from individual projects that are within the purview of a single client, share resources, and yet on its face may not appear to have more granular connections between them. A well-planned schedule is a fundamental management tool that can help government programs use public funds effectively by specifying when work will be performed in the future and measuring program perfor-mance against an approved plan. Collectively, the projects that make up the Library�s IT modernization and operations effort could be collectively monitored using an IMS approach. The Library Will Find That Effective Project and Program Management Practices Are Essential Going Forward We believe it is essential for the Library and OCIO to implement key project and program management practices to strengthen the IT modernization and operational effort. Movement towards efficient IT operations can only occur when planning links required tasks along a pathway that progresses logically and orderly through interfaces that act as stepping-stones to the next layer. The plotting of the plan�s pathway from initiation of the development to completion and delivery is the project�s critical path. The effective use of a project planning approach, which often includes a defined critical path, work breakdown structures (i.e., a parceling of development activities into smaller activities to enable accountability and status updates), goals and milestones, along with performance measurements, will provide accountability and enable the Library to overcome this top management challenge. This will also identify the key outcomes, thereby establishing the basis for performance management while providing stakeholders and Library leadership with the necessary accountability to assess OCIO�s progress going forward. An increasingly constrained budget environment underscores the importance for the Library to manage its IT modernization effort using standard project management practices in order to optimize limited resources. As constraints on available resources increase, project management decisions become correspondingly more challenging and important. In order to rise to this challenge, management needs to have at its disposal current and accurate cost and schedule information upon which to base its decisions, and to enable it to monitor the effectiveness of actions taken over time so that appropriate adjustments can be made as conditions change. In our recent report of IT modernization, we found that, to continue making progress, OCIO needs to place greater focus on implementing proper alignment with industry-promulgated project management practices, and as always with such practices, they should be applied to projects with the proper scale considering size, scope, and level of complexity. Although the OCIO took initial steps to address this issue by estab-lishing a PMO with the intent to instill discipline, greater leadership and quality control is needed to leverage this investment. The Library disagreed with five of the nine recommendations we made in our report. As a next step, the Librarian appointed an audit resolution official to assess the areas of disagreement noted in the manage-ment response to the audit report, and structure an agreement of how best to move forward. In April 2021, after the official date covered by this semiannual period, the Library and OIG agreed that the OCIO would take corrective action to strengthen its project management and oversight of how OCIO plans, implements, and coordinates Library-wide core technology projects. Once developed, we will review the proposed artifacts to determine whether they address our recommendations and the OIG will ensure its future reports take into account the OCIOs corrective action roadmap. [footnote 13] Audits, Evaluations, and Reviews IT Modernization Evaluation Report No. 2019-IT-104 February 2021 OIG engaged an independent contractor, Obsidian Global, LLC, to evaluate the OCIO plan for the Library�s IT modernization efforts. Specifically, Obsidian was engaged to determine whether the Library�s IT modernization plans provide a logical and measurable methodology to ensure its progress towards a modern IT infrastruc-ture. Obsidian compared OCIO�s IT modernization efforts with industry and federal best practices for project, schedule, and cost management. Obsidian also concluded that the Library�s lack of a comprehensive IT modernization implementation plan prevented OCIO from employing a well-designed IT infrastructure modernization effort. Additionally, the absence of a comprehensive plan encumbers the Library�s executive management in assessing whether its IT modern-ization effort is on schedule and within budget. The Library disagreed with five of the nine recommendations. In April 2021, after the official date covered by this semiannual period, the Library and OIG agreed that the OCIO would take corrective action to strengthen its project management and oversight of how OCIO plans, implements, and coordinates Library-wide core technology projects. Once developed, we will review the proposed artifacts to deter-mine whether they address our recommendations and the OIG will ensure its future reports take into account the OCIOs corrective action roadmap. Library's Response to an Anonymous Sexual Harassment Complaint Involving Reading Room Staff Managing Patrons' Viewing of Internet Pornography Report No. 2020-SP-103 December 2020 In August 2019, an anonymous individual submitted a hotline complaint to our office alleging that certain Science Technology & Business (ST&B) Reading Room patrons were viewing Internet pornography, and this made the complainant feel sexually harassed. We conducted a review in part in response to a letter we received in December 2018 from the United States Senate Committee on Rules and Administration (Senate Rules Committee) concerning sexual harassment cases in Legislative Branch agencies, including the Library of Congress. Chairman Roy Blunt and Ranking Member Amy Klobuchar asked us to evaluate the Library�s sexual harassment cases and assess whether the Library�s sexual harassment regulations adhere to best practices. We are not providing specific information about the findings because of the sensitive nature of the information contained in the report. The OIG did not issue the report for public release. We note nonetheless that in a relatively short amount of time after our initial communications with the Library about our preliminary findings and conclu-sions, Library Services started updating reading room procedures to help staff more safely and effectively manage patrons who are viewing Internet pornography, among other activities taken by the Library. We did not make recommendations in the report, but will consider the issues referenced in the report further when conducting an audit we have currently underway. The audit will provide a comprehensive response to the Senate Rules Committee. Library of Congress Momentum Cloud Memo on Information Technology General Controls FY 2020 Report No. 2020-FN-102 November 2020 OIG contracted with the independent public accounting firm of Kearney & Company (Kearney) to perform an audit of the Library�s FY 2020 financial statements and to provide a report on the effectiveness of general and application controls for the Library's Momentum Cloud and related Momentum support systems (Momentum) support systems. The objective was to provide timely identification of deficient controls and/or configurations. According to Kearney, the audit team based its testing procedures on guidance from the GAO's Federal Information System Controls Audit Manual (FISCAM) and in accordance with Generally Accepted Government Auditing Standards. Additionally, Kearney evaluated select Momentum controls for compliance with National Institute of Standards and Technology�s Special Publication 800-53, Rev. 4, Security and Privacy Controls for Federal Information Systems and Organizations. Kearney described the weaknesses it identified in the audit�s report. We are not pro-viding specific information about the weaknesses because of the sensitive nature of the information contained in the report. The report was not issued for public release. Other Audits Division Activities OIG Conducted An Inspection and Evaluation Peer Review of the General Services Administration's OIG In November 2020, we completed a peer review of the General Services Administration's Office of Inspections to assess the extent to which it met seven required standards estab-lished by the Council of Inspectors General on Integrity and Efficiency for inspections and evaluations. We served in the lead role for the peer review, which we conducted in collaboration with the Architect of the Capitol's OIG. We determined that the Office generally met the standards under review, and no recommendations were made. Review of Legislation and Regulations Table 1: Review of Legislation No legislation was reviewed. Table 2: Review of Library of Congress Regulations (LCRs) and Directives (LCDs) Reviewed:LCR 3-220, National Library Service for the Blind and Print Disabled Comments by the Office of the Inspector General: OIG had no comments. Reviewed:LCR 2-410, Custody of Materials Comments by the Office of the Inspector General: OIG had no comments. Reviewed:LCR 10-132, Reporting Missing or Stolen Library Property Comments by the Office of the Inspector General: OIG suggested updates consistent with reporting suspected theft of Library property to the OIG. Reviewed:LCD 7-320.1, Fellowship and Award Process Comments by the Office of the Inspector General: OIG suggested minor edits and clarifying changes. Investigations Division As shown in Table 3, [footnote 14] during this reporting period, our Investigations Division completed seven investigative reports. We opened nine investigations, closed seven, and forwarded three to Library management for administrative action. No complaints were opened and one closed. With regard to the OIG Hotline, we received 42 hotline communications, converted nine to investigations, and referred 21 to management. Activity Total Investigative Reports Issued (summarized in this report): 7 Referrals to the Department of Justice: 1 Referrals to State and Local Authorities: 0 Indictments/Criminal Informations Resulting from Prior Referral to Prosecuting Authorities: 0 Investigations Opened: 9 Investigations Closed: 7 Investigations Forwarded to Library Management for Administrative Action: 3 Complaints Opened: 0 Complaints Closed: 1 Complaints Converted to Investigations: 0 Hotline Communications Converted to Investigations: 42 Hotline Communications Received: 9 Hotline Referrals to Management: 21 Other Investigations Divisoin Activities Significant Investigations Employee Misconduct, Possession of Firearms and Dangerous Weapons in Federal Facilities OIG received a Hotline notification that a Library employee brought a firearm into the National Audio-Visual Conservation Center (Packard Campus) located in Culpepper, VA and went undetected by the Library�s security contractor. OIG Agents reviewed security footage and related documents that revealed the employee entered/exited Packard Campus without incident. Agents interviewed key witnesses who related that they have no reason to believe that the employee is a threat to themselves or others. Agents also interviewed the employee in question who maintained that the firearm was brought on the campus accidentally and did not realize the weapon was in their bag. The investigation was referred to Department of Justice and subsequently declined for prosecution. An investigative report was issued and referred to Library management for action. Employee Misconduct, Time and Attendance Irregularities The OIG Hotline received notification that a Library employee was working as a contractor under a U.S. Department of Veterans Affairs contract while at the same time employed/working at the Library. OIG interviewed witnesses, reviewed leave and other records, and determined that from January 2019�October 2019 the em-ployee was employed by both the Library and contractor. The vendor became aware of the employee�s dual employment and the employee was subsequently terminated from the contract position. An investigative report was issued and referred to Library management for action. The employee resigned while under investigation. Employee Misconduct, Misuse of Library Computer As reported in previous Semiannual Reports, pursuant to proactive efforts, OIG identified three Library employees who were possibly misusing their Library-issued computers. OIG conducted investigations into each and determined that the employees had used their computers to visit inappropriate Internet sites. The investigative reports were issued and referred to Library management for action: one employee received a counseling memorandum and two are pending adjudication. Grant Fraud, Theft of Funds from Library Grantee As previously reported, the OIG assisted the Springfield Police Department (SPD), Springfield, Illinois, which was investigating the theft of funds from a Library Grantee. A portion of those funds was part of the Library�s Teaching from Primary Sources (TPS) grant program. An internal audit conducted by the grantee and subsequent investigation by the SPD determined two employees of the grantee stole a variety of funds by misusing the grantee�s credit cards and filing fraudulent travel vouchers. In addition to other grantee funds, the employees embezzled/converted approximately $276,120 from accounts containing TPS funds. The Library�s OIG assisted the SPD by conducting interviews of the TPS program managers and the grant management specialist, conducting enterprise email searches, confirming that funds dispersed to the grantee were appropriated funds, and providing other requested information. The employees were prosecuted and convicted by the Sangamon County State�s Attorney�s Office in Illinois. One employee of the grantee plead guilty to theft, was sentenced to 24 months� probation, and ordered to pay $90,000 in restitution. The other employee of the grantee plead guilty to theft, was sentenced to seven years in prison, and ordered to pay $315,651 in restitution. The investigative report was issued and referred to Library management for consideration of administrative remedies. Unimplemented Recommendations We obtained comments from Library management on the status of all open recommendations. OIG summarized the comments provided for recommendations made in our publicly released reports and provide them in tables 4A and 4B. The assertions made in the tables are the representations of Library management and not of the OIG. The status of recommendation updates have not been audited. OIG periodically performs follow-up audits, inspections and evaluations, and reviews to verify implementation of our recommendations. Table 4A: Significant Recommendations from Previous Semiannual Reports for which Corrective Action Has Not Been Completed Office of the Librarian / Office of the Chief Information Officer (OCIO) Subject Maturity of System Development Life Cycle Processes and Procedures Report No. Issue Date Office Rec. Office OCIO Rec. No. 4 Summary and Status of Recommendation Report summary: OIG evaluated the Library�s System Development Life Cycle (SDLC) methodology for acquiring, designing, implementing, and maintaining IT systems. Establish budget methodology to track project development costs and measure variances against approved costs�The Office of the Chief Information Officer (OCIO) and Financial Services Directorate (FSD) continue to work together on the WebTA Labor Module Integration Support. The initial pilot will occur starting in the third quarter of FY 2021. The pilot will focus on interfaces between WebTA and other systems requiring integration (e.g., NFC, Momentum, and authoritative project management systems). The estimated date of completion is the fourth quarter of FY 2022. Subject Design of Library-wide Internal Controls for Tracking IT Life Cycle Processes and Procedures Report No. Issue Date Office Rec. 2014-IT-101 March 2015 Office OCIO Rec No. V.1.A Summary and Status of Recommendation Report summary: OIG reviewed the Library's internal controls for tracking IT investments. Align current cost development processes for IT investments to coincide with requirements for Office of Management and Budget (OMB) reporting, such as the use of an earned value management system to track costs on high-risk projects, as discussed in Capital Programming Guide, V.3.0, Supplement to OMB Circular A-11: Planning, Budgeting, and Acquisition of Capital Assets�The FY 2021 IT Finance Plan was prepared by OCIO in collaboration with the other service units, presented in draft to the Technology Strategy Board in October 2020 and in final during its March 2021 meeting. Plans to publish OCIO staff hour estimates for each major IT Investment were postponed due to a still maturing project time tracking. OCIO intends to continue im-proving project chartering processes during the remainder of this fiscal year. In the meantime, FSD, the Contracts and Grants Directorate, and the Office of General Counsel continue to collaborate and work with OCIO to estab-lish an Earned Value Management (EVM)/Earned Value Analysis threshold for major IT investments. The estimated date of completion is the fourth quarter of FY 2021. Rec No. V.1.B Summary and Status of Recommendation Implementation of these practices may require procedural changes used by the service units for reporting expenditures and systemic modifications to the Library's Legislative Branch Financial Management System (LBFMS) and the Library of Congress Budget System (LCBS) that are used for tracking costs�The Technology Business Management tool, IT Planning System (ITPS), implemented in the fourth quarter of 2020, improves tracking of IT Investments budgeted and actual amounts. By inputting the Financial Reporting System (FRS) FY 2020 IT Expenditure data into ITPS, OCIO can identify and correct disparities between the FRS data and the FY 2020 IT Finance Plan. OCIO is reviewing the �non-IT� identified data to ensure correct attribution. Also, OCIO supports two FSD-sponsored consulting studies on (1) Internal Use Software and (2) Cost Estimating practices, which will inform LBFMS Momentum Cloud and LCBS data improvements. As part of the WebTA Labor Module project, LCBS and LBFMS changes will allow the tracking of labor costs by Project with additional fields in LBFMS reserved for tracking project costs. LCBS and Project Portfolio Management systems will serve as the Project authentication systems. The estimated date of completion is the fourth quarter of FY 2021. Rec No V.2.C Summary and Status of Recommendation Institute better tracking of IT investments through changes in LBFMS and LCBS�See the update for 2014-IT-101, recommendation V.2.B above. Subject eDeposit and eCollections Strategy Report No. Issue Date 2014-PA-101 April 2015 Office OCIO Rec No 2 Summary and Status of Recommendation Report summary: OIG evaluated the Library�s efforts to ingest and make available for use electronic works (born-digital content). Recommendation: The Librarian should require the Architecture Review Board to: ensure that the eCollections Strategy and related activities are sufficiently addressed in the Enterprise Architecture�s current or �as-is� environment, the target or �to-be� environment, and the roadmap leading from the as-is to the to-be environment; sufficiently address and reduce the risk of implementing duplicative, poorly integrated, and unnecessarily costly eCollection activities; and sufficiently address the need for �robust security� to prevent �loss, alteration, and unauthorized access� of eCollections items�We reviewed the documentation submitted by the Library as part of its request to close the recommendation. We notified the Library that it did not demonstrate the "as-is" or "to-be" environments. OCIO submitted documentation to close this recommendation in November 2019 and April 2021. Based on our review of the documentation, the recommendation has yet to be addressed. Subject Library Working through Agile Delivery Method Challenges for Copyright IT Report No. 2018-IT-107 August 2019 Office OCIO Rec No 1 Summary and Status of Recommendation Report summary: OIG reviewed the joint effort involving OCIO and the U.S. Copyright Office (USCO) to develop the future-state version of US-CO�s Copyright Recordation system, which is part of the larger USCO IT modernization plan. Develop and implement guidance on tracking and resolving project health issues, on development projects that follow an agile, hybrid, or other similar methodology. In addition, OCIO should update its status dashboards to effectively convey project progress�During the first half of FY 2021, FSD engaged contractor support to complete a cost management assessment report documenting a Current State and recommendations for a Future State with a summary roadmap for cost accounting and cost estimation to support the implementation and maturity of cost management best practices at the Library. FSD and OCIO continue to collaboratively review and identify recommended actions to make advances in the Library's cost estimation foundation and capability necessary, including supporting EVM. OCIO is currently working with industry experts in Agile EVM to determine the best approach to implement EVM at the Library. The Library has identified and is evaluating an EVM methodology that was previously used at an Executive branch agency. The Library is updating the SDLC with additional guidance for EVM (with appropriate threshold when EVM is and is not applied). The estimated completion date is the fourth quarter of FY 2022. We are assessing this as part of a current audit. Rec. No. 2 Summary and Status of Recommendation Ensure that all relevant stakeholders understand the development methodology used, implement a stakeholder engagement plan, assess the risks associated with the project before beginning the project, and document best practices for governance and status meetings, including best practices relating to the size and content of the meetings�The Library has reported that it completed the work necessary to close this recommendation. We are assessing this as part of a current audit. Rec. No. 3 Summary and Status of Recommendation Work with and obtain concurrence from project owners and, where applicable, development governance boards regarding the format and content of program and project reports. Ensure that such content follows the guidelines published by PMI or other risk management standard-setting bodies�The Library has reported that it completed the work necessary to close this recommendation. We are assessing this as part of a current audit. Rec. No. 4 Summary and Status of Recommendation Develop and implement guidance (i.e., directives) for blending Systems Development Life Cycle (SDLC) approaches based on the characteristics of individual projects, and that such directives include obtaining the business owners' concurrence regarding the SDLC approach at the start of each project. OCIO should also obtain FSD's concurrence regarding the SDLC approach as it relates to cost management�OCIO has updated the LCD 5-310.2, Systems Development Life Cycle (SDLC), to include language regarding OCIO�s use of hybrid development methodologies for IT projects. The LCD was published in February 2020 and posted to the LC Regulations and Directive intranet and OCIO�s SDLC Confluence page. The Project Charter template now requires that service units agree, via leadership signature, on the SDLC approach. Similarly, FSD is now required to sign the project charter as well, indicating their concurrences on approach. The Library has reported that it completed the work necessary to close this recommendation. We are assessing this as part of a current audit. Rec. No. 5 Summary and Status of Recommendation Prepare a checklist of all required elements for starting a project before beginning system development for the project, including such items as obtaining approval of the SDLC methodology and completing an agile suitability scorecard, and then obtaining the CIO or Deputy CIO�s approval of the completed checklist before beginning the project�The Library has reported that it completed the work necessary to close this recommendation. We are assessing this as part of a current audit. Rec. No. 6 Summary and Status of Recommendation Map the current methodology used in developing the Recordation Modernization Initiative (RMI) Minimum Viable Product (MVP) to the methodology required in LCD 5-310.2, ensure that it identifies and implements appropriate risk mitigation steps for any substantive deviation from the required methodology, and obtain FSD and USCO concurrence with regard to the mapping and any mitigation steps�The Library has reported that it has completed the work necessary to close this recommendation. We are assessing this as part of a current audit. Rec. No. 7 Summary and Status of Recommendation Clearly define the purpose of an MVP in the Library�s instance of agile development and develop a process for ensuring that the Library incorporates the agreed-upon definition into its SDLC processes. OCIO should coordinate with the Contracts and Grants Directorate (CGD) for issues related to contract management and with FSD for issues related to cost management. The Library should then codify the process in its policies�OCIO has updated the SDLC guidance on Agile to incorporate a clear definition of MVP and published this on the "Agile at the Library" portal page. The Agile Contracts Working Group (ACWG) continues to work on a draft of the LC Agile Contracting Guide, which includes guidance on how to address MVP within agile contracting. The guidance includes templates and examples to support the creation of standard contract language on the Library's Agile IT efforts. The estimated completion date is the fourth quarter of FY 2021. We are assessing this as part of a current audit. Rec. No. 8 Summary and Status of Recommendation OCIO, in conjunction with OGC and CGD, develop guidance to align key activities and responsibilities defined in application development contracts with Project Management Institute�s Agile Practice Guide, or develop risk mitigation strategies for instances in which the Library chooses to deviate from agile best practices. These key activities and responsibilities may include items such as maintenance of the product roadmap�The Agile Contracts Working Group (ACWG) continues to work on a draft of the LC Agile Contracting Guide, which includes guidance on how to develop agile software development contracts in accordance with both CGD and OGC guidelines. The guidance includes templates and examples to support the creation of standard contract language on the Library's Agile IT efforts. The estimated date of completion is the fourth quarter of FY 2021. We are assessing this as part of a current audit. Rec. No. 9 Summary and Status of Recommendation Update the Agile at the Library Confluence site and any other relevant guidance to be consistent with The Scrum Guide and Project Management Institute guidance�The Library has reported that it has completed the work necessary to close this recommendation. We are assessing this as part of a current audit. Rec. No. 10 Summary and Status of Recommendation Develop a checklist and supervisory controls to ensure that it uses updated guidance from the Agile at the Library Confluence site and the appropriate implementation methodologies on development projects�The Library has reported that it completed the work necessary to close this recommendation. We are assessing this as part of a current audit. Rec. No. 11 Summary and Status of Recommendation Develop quality control mechanisms for ensuring that it updates templates for project management deliverables, such as the risk register, in a timely manner during ongoing projects, as well as for ensuring that project teams keep project management deliverables current throughout the project� The Library has reported that it completed the work necessary to close this recommendation. We are assessing this as part of a current audit. Rec. No. 12 Summary and Status of Recommendation Develop contingency plans for each of the risks identified in the risk register and obtain appropriate management approval for the plans�The Library has reported that it completed the work necessary to close this recommendation. We are assessing this as part of a current audit. Subject Overseas Field Office Replacement System (OFORS) Report No. Issue Date 2018-PA-101b April 2020 Office OCIO Rec No 1 Summary and Status of Recommendation Report summary: OIG reported on OFORS, a $1.7 million custom-built, IT system originally scheduled for completion by September 2012 that was not partially installed until FY 2015. The Library, in coordination with OCIO and FSD, develop and implement policies and procedures that clearly establish service unit stakeholder accountability and define program/project and cost management responsibilities for the development and implementation of IT systems based on relevant best practices�The Library is implementing the WebTA labor module. A pilot of the module is expected to begin in the third quarter of FY 2021. OCIO has also updated its project management processes and templates to include roles and responsibilities of service units and FSD. The estimated date of completion is the fourth quarter of FY 2022. Office of the Librarian / Chief Operating Officer (COO) Subject FEDLINK -Hotline Complaint Regarding the Timeliness of Processing Customer Orders Report No. Issue Date 2018-SP-104 May 2019 Office COO Rec. No. 1 Summary and Status of Recommendation Report summary: OIG evaluated a hotline complaint regarding the Federal Library and Information Network (FEDLINK) and two of its customers. FEDLINK serves federal libraries and information centers as a purchasing, training, and resource-sharing consortium. FEDLINK should create a formal process for tracking, reviewing, and resolving issues from customers and vendors. Implementing a formal process for centrally documenting customer issues could benefit FEDLINK, as it would allow FEDLINK to quickly identify and resolve systemic issues, thereby improving the services that FEDLINK provides to its customers. Implementing a formal process for tracking customer service issues related to contracts would also assist in ensuring that FEDLINK sufficiently documents issues to enable it to resolve the issues regardless of possible employee turnover. A formalized process would also assist in ensuring that all customer issues received are available to the FEDLINK personnel assigned to the relevant contract, regardless of the process by which the issue was submitted�The Chief Operating Office/Library Enterprises has completed its market research and independent government cost estimate review for a customer relationship management system, and the task order is now under review in CGD. The estimated date of completion is the fourth quarter of FY 2021. Office of the Librarian / Chief Operating Officer (COO) Subject The Library Continues to Face Challenges Ensuring Effective Financial Management and Reporting Report No. Issue Date 2019-SP-101 May 2020 Office COO Rec. No. 1 Summary and Status of Recommendation Report summary: OIG evaluated progress made by the Library in addressing the material weakness, significant deficiencies, and noncompliance with laws and regulations reported by the independent public accountants during their FY 2017 Library financial statements audit. FSD should develop an integrated master schedule for identified control deficiencies relating to financial management and reporting that presents all key activities to mitigate, their appropriate timing, associated costs, milestones, and other resources�An initial Integrated Master Schedule (IMS) for FSD Modernization was developed in March in collaboration with FSD managers and stakeholders, with contractor support. The modernization IMS will be used as a tool to help FSD proactively identify and manage projects to reach a more modernized future state. As FSD continues to introduce more projects, it will evaluate and monitor dependencies in resources and scheduling to ensure objectives are met to mitigate control deficiencies relating to financial management and reporting, including cost management capabilities. The estimated date of completion is the fourth quarter of FY 2021. Rec. No. 2 Summary and Status of Recommendation FSD take a greater leadership role with implementing TBM. In order to do so, FSD must take steps to equip itself with the required skills and resources it needs to improve and further develop TBM, such as hiring cost accountants�FSD continues to evaluate options to increase cost accounting maturity and address a more comprehensive approach in cost management. In FY 2021, a FSD contractor completed a cost management assessment report that documented: a Current State, recommendations for a Future State, and a summary roadmap for cost accounting and cost estimation to support the implementation and maturity of cost management best practices at the Library. OCIO collaborated in developing the cost management report inputs and recommendations. By the end of the fourth quarter, FSD will sequence on the IMS actions that it can begin to implement towards a greater leadership role in people and processes related to cost management and transparency. FSD has requested cost accountant and data analytic roles in an FY 2022 new and expanded program request (NEPR) who will partner with OCIO to craft policies, verify data and cost modeling, and validate TBM reports for external consumption. If the FY 2022 NEPR is funded, FSD will assess and implement the next steps to mature an Enterprise Planning and Management (EPM) program, including working closely with the TBM office to develop a policy and model for the Library and with stakeholders Library-wide to define requirements to implement and enhance capabilities in EPM. FSD continues to be engaged with a contractor to assess and propose actions FSD can take to mature its new or existing functions, including any necessary organizational changes in support of improving internal controls, cost accounting, cost estimating, and data analytics. The estimated date of completion is the fourth quarter of FY 2022. Rec. No. 3 Summary and Status of Recommendation FSD work collaboratively with OCIO and the Human Capital Directorate (HCD) to implement a more robust solution to properly capture all internal labor costs attributed to IT capital investments for personnel involved with software development. As part of this effort, Library-wide guidance and procedures for capturing such internal labor-costs should be developed�As part of the WebTA Labor Module (LM) project, changes are being made in LCBS and LBFMS to track labor costs by project, and the module solution developed in its current form allows for projects to be tracked with or without an activity. Project work for a WebTA LM reporting pilot is currently on track in conjunction with HCD and OCIO; however, OCIO, HCD, and FSD are re-evaluating the start date for the pilot in subsequence with the revised scheduled go-live for the LBFMS upgrade now set in May. The current state of the Internal Use Software policy/procedures is not finalized, and leadership continues to review recommendations to define the methodologies and processes for managing and tracking projects and/or activities. Future considerations will need to be weighed after the pilots including cost accounting requirements and policies. The estimated date of completion is the fourth quarter of FY 2022. Library Services (LS) Subject eDeposit and eCollections Strategy Report No. Issue date 2014-PA-101 April 2015 Office LS Rec No. 1 Summary and Status of Recommendation To become more cost efficient and to ensure that eCollection activities are meeting the Library�s strategic business objectives, the Library needs an overarching, transformative eCollections Strategy for collecting electronic works that does the following: groups programs, projects, and other IT work together to facilitate effective portfolio management of activities related to collecting electronic works, including born-digital works; identifies the Library�s organizational priorities related to these programs and projects and other IT work, makes investment decisions, and allocates resources accordingly; and focuses on meeting common requirements that span across the Library�s service units�We reviewed documentation submitted by the Library as part of a request to close the recommendation. We notified the Library that the documentation did not demonstrate that the recommendation had been implemented. Rec No. 4 Summary and Status of Recommendation The Librarian should take the following steps to implement better governance and accountability in order to ensure timely implementation of the Librarian�s vision to acquire digital works: create a mechanism for the Librarian and the Librarian's immediate leadership team to receive executive-level reports on a regular basis on eCollection activities, mandate their review, and take timely action as necessary to ensure that such activities stay in-line with the Librarian�s vision and with senior leadership�s cost, schedule, and performance expectations; provide greater clarity on the role of the Executive Committee (EC) in monitoring and overseeing cross-cutting IT programs; and ensure the EC�s consistent involvement, support, and oversight of the eDeposit Program and the eSerials Project�Regular reports on the eDeposit and eCollections Strategy occur at the Executive Committee (EC). The most recent executive report was at the March 2021 EC meeting. Because a substantive portion of the Library's Digital Collecting Plan (2016) was complete, a new planning effort is underway to build the Library's Digital Collections Strategy for 2022-2026. The planning was reported to the EC at the March 2021 EC meeting. The new planning incorporates the Librarian's vision, as well as the Library's Strategic Plan and Digital Strategy, as well as Library Services' Directional Plan. All work will correspond to Library-specific goals and LS performance goals for accountability. Representation on the Planning Group include OCIO and USCO to ensure both groups are stakeholders in the strategy development, as well as execution. The estimated date of completion is the second quarter of FY 2021. Rec No. 5 Summary and Status of Recommendation The Information Technology Steering Committee (ITSC) does not have the necessary data to align IT goals, objectives, and priorities with the strategic needs and plans of the Library. The Librarian should do the following to correct this: direct the Chief Financial Officer (CFO) to provide information on the full universe of IT investments budgeted in each fiscal year for eCollection activities to the ITSC on an ongoing basis, as well as provide actual year-to-year costs for budget versus actual comparisons; require ITSC to formulate approval and monitoring criteria that align with the Library�s organizational priorities as stated in an eCollections Strategy and associated enterprise architecture, as well as with common requirements spanning the Library�s service units for ingesting and protecting electronic works; and require the chair of the ITSC to report regularly to the Librarian, a designee, and/or the EC about ITSC decisions and oversight issues related to the schedule, cost, and performance of eCollection activities�We reviewed documentation submitted by the Library as part of a request to close the recommendation. We notified the Library that the documentation did not demonstrate that the recommendation had been implemented. Rec No. 6 Summary and Status of Recommendation To improve the organizational and financial management of its eCollection activities, the Librarian needs to require that service units: adopt and implement Library-wide best practices for standardizing program and project management to increase the likelihood of delivering effective digital transformations on time and on budget; and collect, track, and use quantitative data demonstrating variances in project delivery and investment targets to inform management oversight and reporting, including budget, planning, and investment decision-making going forward. This information should be used as part of the Library�s performance management process� We reviewed documentation submitted by the Library as part of a request to close the recommendation. We notified the Library that the documentation did not demonstrate that the recommendation had been implemented. Rec No. 7 Summary and Status of Recommendation For all IT investments, the Librarian should: (1) require service units and sponsors of significant IT investments (regardless of funding source) to complete a business case document that demonstrates how each IT proj-ect would meet organizational needs; outlines benefits, estimated costs, and risks, including the results of a cost-benefit analysis; and establishes a prelim-inary schedule for implementation; (2) require the business case document to be submitted to the ITSC for review during an early phase of product development and require the business case to be periodically reviewed and verified by ITSC with respect to the business need(s) being supported; (3) di-rect the CFO to develop the capability to fully project, capture, and track the actual costs of IT-related activities, including payroll costs; and (4) require the Strategic Planning Office or another unit to develop the capability for the Librarian and her immediate leadership team to monitor significant IT investments across the Library�s various planning, budgeting, program/proj-ect management, and financial accounting systems to reveal inefficiencies and ineffectiveness in order to address problems in a timely manner�Only item (3) remains outstanding. After completing a planned WebTA upgrade, the Library will implement a new module to track the payroll costs of IT projects. The estimated date of completion is fourth quarter of FY 2022. Subject Library Services Needs to Strengthen Its Performance Measurement of the Collection Services Workflow Report No Issue Date 2018-SP-101 August 2019 Office LS Rec No. 1 Summary and Status of Recommendation Develop and implement performance measures for the collection services workflow that measure desired outcomes aligned with the first goal of the Library�s new strategic plan to expand user access and the goal�s first objec-tive to increase the discoverability and availability of collection materials, including measures for analog and electronic collection materials of cycle time and the age of LS�s inventory of unprocessed materials�Fulfilling LS Directional Plan Action #1.2.2.2, LS has completed and made available to OIG its FY 2020 Report on the Age of Library Services� Inventory of Unprocessed Materials which focuses on the amount of time collections in special formats arrearage (as defined by the LS FY 2019 NEPR) have spent in arrears. LS will make its FY 2021 Directional Plan available to the OIG, thereby reporting on both carryover and new measures. The estimated date of completion is the fourth quarter of FY 2023. Rec No. 2 Summary and Status of Recommendation Utilize baseline and trend data in measuring progress in fulfillment of the first goal of the Library�s new strategic plan to expand user access and the goal�s first objective to increase the discoverability and availability of collection materials�Starting the second quarter through the third quarters of FY 2021 Library Services' led Working Groups have been formed and are currently meeting to brainstorm, test, and then document the counting strategies for unprocessed physical collection items in multiple formats. In the coming years, LS will use this and historic arrearage data from the LC annual report to demonstrate reduction in its special formats and general collections arrearages. This work will be iterative and is dependent on interim and final results from 2018-SP-101 recommendation 3. The service unit will develop or discover additional baseline or trend data as progress on recommendation 3 yields new opportunities and information. The estimated date of completion is the fourth quarter of FY 2023. Rec No. 3 Summary and Status of Recommendation Broaden LS's capability to perform end-to-end monitoring of its collection services activities, such as by mapping business processes that are key to meeting user needs, as part of an effort to identify, analyze, and respond to risks related to achieving the Library�s strategic goals and objectives. Mapping activities should include the use of IT systems and/or software programs�Library Services has completed pilots and documented and circulated a methodology for mapping and monitoring collection processes in a report. LS has developed a plan to create process maps for 4 of the 7 remaining major physical collections formats this year. Work is already underway on a Books map, and work will begin on the Music, Maps, and Pictorial Materials maps in April. Please note: due to the evolving pandemic response, timelines may shift and significant delays are possible. The estimated date of completion is an, as of yet, unspecified quarter in FY 2022. Rec No. 4 Summary and Status of Recommendation Create a more precise definition of �arrearage� that LS applies consistently across all of its areas to help ensure that it has a complete and accurate inventory of unprocessed analog collection materials�LS has gathered data and comments from all Directorates and expects to have a final definition early in FY 2021. The estimated date of completion is an, as of yet, unspecified quarter in FY 2021. Rec No. 5 Summary and Status of Recommendation Create a complete and accurate inventory of unprocessed electronic collection materials�A Collection Development Office/Digital Collections Management and Services Division led team in Library Services has developed a framework that will serve as the framework to support developing a complete, accurate, and maintainable inventory of processed and unprocessed digital collection materials. Piloting this inventory process has been completed for eBooks, eSerials, and Web Archives. A report on these pilot efforts documents how they can work with existing tools and methods and significant limitations to those methods that result from challenges presented by available data and tools. Development of a framework for digital special collection items has been completed. As a next step, it will be necessary for the special collections divisions to initiate a pilot to test and refine the framework for special collection item counting. The estimated date of completion is an, as of yet, unspecified quarter in FY 2022. Rec No. 6 Summary and Status of Recommendation Use complete and accurate data to establish an outcome-oriented target for reducing the size of its inventory of unprocessed analog collection materials (e.g., using a ratio of unprocessed analog materials to analog collection materials overall) and use the target to measure performance�In the second quarter of FY 2021, an LS-led team began work gathering information on physical collection arrearage estimation. In the third quarter, sub-groups began to meet with the goal of brainstorming, testing, and then documenting the counting strategies for specific formats. Documentation and piloting of methods to be completed by the end of the third quarter of FY 2021, including a snapshot estimate of unprocessed materials across various physical formats.. The estimated date of completion is an, as of yet, unspecified quarter in FY 2021. Rec No. 7 Summary and Status of Recommendation Use complete and accurate data to establish plans to set an outcome-oriented target for reducing the size of its inventory of unprocessed electronic collection materials (e.g., using a ratio of unprocessed electronic materials to electronic collection materials overall)�Once LS has created a complete, accurate, and maintainable inventory of unprocessed digital collection materials, it will use that data to establish plans to set an outcome-oriented target for reducing the size of that inventory of unprocessed digital collection materials. This effort will be helped by the reporting of eSerials and eNewspapers digital acquisitions received via USCO in the LC Annual Report, starting in FY 2021. Counting efforts will be expanded to all born digital formats in subsequent years. The estimated date of completion is an, as of yet, unspecified quarter in FY 2022. Rec No. 8 Summary and Status of Recommendation Establish outcome-oriented measures focused on LS's performance related to meeting user needs associated with the collection services workflow�In development of FY 2001 annual performance goals, LS continued to implement an outcome oriented approach for performance measurement. LS will begin in FY 2021 by increasing the percentage of outcome and customer-need performance measures (as compared to FY 2020). The service unit will develop additional measures as progress on 2018-SP-101 recommendations 1, 2, and 3 yield new opportunities and information. The estimated date of completion is an, as of yet, unspecified quarter in FY 2023. Rec No. 9 Summary and Status of Recommendation Adopt a cross-organizational approach to performance measurement related to the collection services workflow that facilitates collaboration across LS's organizational units�In development of FY 2001 annual performance goals, LS continued to implement a cross-organizational approach in areas that were organizationally siloed. This work will be iterative and is dependent on interim and final results from 2018-SP-101, recommendations 1, 2, and 3. While LS performance measures will continue to identify ownership/accountability for reaching performance goal targets at the Directorate level with the information obtained through recommendation 3, LS will seek opportunities to highlight critical paths, critical systems, dependencies and effects within and between its performance measures. The estimated date of completion is an, as of yet, unspecified quarter of FY 2023. Rec No. 10 Summary and Status of Recommendation Track the allocation of resources associated with outcome-based performance measures for all stages of the collection services workflow for analog and electronic collection materials�LS will begin to track the allocation of resources associated with outcome-based performance measures for all stages of the collection services workflow for analog and electronic collection materials. This work will be iterative and is dependent on interim and final results from 2018-SP-101, recommendations 1, 2, 3, and 9. LS will begin in FY 2021 by linking budget and staffing requests to the LS Directional Plan (cross walking to the LC Strategic Plan). While this will not demonstrate allocation of resources associated with specific performance measures, it will connect resources with LS Directional/ LC Strategic Plan goals and objectives. LS will develop additional measures as progress on recommendations 1, 2, and 3 yield new opportunities and information. The estimated date of completion is an, as of yet, unspecified quarter of FY 2023. Rec No. 11 Summary and Status of Recommendation Establish capacity utilization performance measures that track the effectiveness of its collection services workflow�LS' work will be iterative and dependent on interim and final results from 2018-SP-101 recommendations 1, 2, 3, 9 and 10. The estimated date of completion is an, as of yet, unspecified quarter of FY 2023. Subject Overseas Field Office Replacement System (OFORS) Report No. Issue Date 2018-PA-101b April 2020 Office LS Rec No 1 Summary and Status of Recommendation Library Services perform a gap analysis to assess whether OFORS business requirements and baselined cost estimates are being met and, if not, what corrective action steps should be taken based on a cost-benefit analysis. If corrective action steps are needed, a comprehensive project plan should be developed to manage and eliminate identified gaps�In response to a request to close this recommendation, we assessed LS' status update and concluded that it had not performed a gap analysis as we recommended. Implemented and Closed Recommendations [footnote 15] Table 4B: Significant Recommendations from Previous Semiannual Reports which Were Implemented or Closed During This Period Library Services (LS) Subject Library Services Needs to Strengthen Its Performance Measurement of the Collection Services Workflow Report No. Issue Date 2018-SP-109 April 2019 Office LS Rec. No. 4 Summary of Recommendation and Action Create a more precise definition of �arrearage� that LS applies consistently across all of its areas to help ensure that it has a complete and accurate inventory of unprocessed analog collection materials�LS completed the process of defining "arrearage." Unimplemented Financial Statements Recommendations The objective of the financial statements audit is to obtain reasonable assurance that the Library's financial statements are free of material misstatements. OIG summarized the Library's FY 2019 financial statements audit recommendations and the Library's corrective action plan in table 4C. [footnote 16] Details on recommendations are provided for the auditor's publicly released reports but not for management letter comments distributed internally to Library management. The implementation of recommendations will be evaluated during the Library's FY 2020 financial statements audit. Table 4C: FY 2019 Financial Statements Recommendations Made by the Independent Public Accountant Internal Control over Financial Reporting Reportable Findings Office of the Librarian / Financial Services Directorate Subject Results of the Library of Congress FY 2019 Financial Statements Audit Report No. Issue Date 2019-FN-101 May 2020 Rec No I.1 Summary of Recommendation and Action Perform an analysis of current financial reporting processes to identify any complex processes that could be simplified or eliminated, to include an analysis on how transactions are reported in the financial reporting system�The Financial Reports Division (FRD) has identified the high-level areas to focus on for the FSD's modernization Integrated Master Schedule, including hiring actions and writing procedures for documentation. FRD has upgraded one of its existing positions to a supervisor role and has reevaluated staff assignments and functions. FRD's staff reevaluation and Implementation plan was reviewed by the Chief Financial Officer (CFO) in March 2021 and will be finalized and implemented in the third quarter of FY 2021. Rec No I.2 Summary of Recommendation and Action Once financial reporting processes are reviewed and simplified, where possible, document all steps needed to report financial transactions in desk guides or procedures documents�In the third quarter of FY 2021, the CFO will be posting program analyst position descriptions in the area of policy and documentation and the area of internal controls and risk management to obtain assistance for this area. Contractor support is also being leveraged this year for improving documentation on cost management processes. Rec No I.3 Summary of Recommendation and Action Perform an assessment of who should be performing the processes, such that procedures are pushed down to the lowest level feasible to allow for a timely detailed review below the management level, where possible, and take any necessary action to ensure that staffing levels and skills sets are sufficient to perform the processes and procedures�Four accountant vacancies have been filled, including upgrading a position to a supervisory accountant, and a systems accountant position will post soon. FRD continues reviewing over 700 tasks to identify the receiving agency/unit, accounting function, and purpose of the task. The goal is to eliminate duplication and unnecessary tasks to gain efficiencies, identify alternative processes to streamline work and create clearly defined job descriptions. However, with the training needed to rebuild expertise, this remains a moving target. FRD supervisors are meeting to review gaps, reevaluate staff assignments and functions (i.e., receivables, expenditures, assets, investments), and finalize an implementation plan in the third quarter following the CFO's review. Rec No I.4 Summary of Recommendation and Action Develop and establish high-level analytical procedures at the supervisor and manager level, as well as make sure adequate resources are available at the supervisor and manager level and trained appropriately to execute analytical procedures and ensure the identification and correction of errors in financial reporting processes�FRD is leveraging SharePoint to manage its tasks and the auditors' FY 2020 audit request list (a.k.a., Provided by Client list). This has improved communication and minimized the number of emails, hence centralizing documentation. Permanent changes will be implemented by the end of April 2021. Rec No I.5 Summary of Recommendation and Action Establish and enforce a time line to prepare and issue the annual financial statements and related notes within a reasonable time period after the close of the fiscal year�The addition of a FRD supervisor has assisted with workload management; FSD is looking at consolidating tasks and using Momentum to enter and review pledges coming through the Development Office on a monthly basis instead of on a quarterly basis. Reporting Requirements Table 5: Reporting Requirements under the Inspector General Act of 1978, as Amended, [footnote 17] and the Library of Congress Inspector General Act of 2005, as Amended IG Act Section OIG Reporting Requirements Page Number 4(a)(2) Review of legislation and regulations. 18 5(a)(1) Significant problems, abuses, and deficiencies. 15-22 5(a)(2) Recommendations for corrective action. 23-36, 39-40 5(a)(3) Significant outstanding recommendations. 23-36, 39-40 5(a)(4) Matters referred to prosecutorial authorities. 19 5(a)(5)/6(c)(2) Information or assistance unreasonably refused or not provided. N/A 5(a)(6) Listing of completed audit, inspection and evaluation, and investigative reports. 15-22 5(a)(7) Summary of significant reports. 15-22 5(a)(8) Statistical table pertaining to questioned costs for audits, inspections and evaluations, and investigations. 42 5(a)(9) Statistical table pertaining to funds recommended to be put to better use for audits, inspections and evaluations, and investigations. 42 5(a)(10) Prior OIG reports unresolved, uncommented upon, desired timetable for achieving a management decision. N/A 5(a)(11) Significant revised management decisions. N/A 5(a)(12) Management decision disagreements. N/A 5(a)(14) Information regarding peer reviews involving the OIG. 43 5(a)(15) List of any outstanding recommendations from any peer review conducted by another OIG. N/A 5(a)(16) List of any peer reviews conducted by the IG of another OIG during reporting period. 21 5(a)(17) Statistical tables pertaining to OIG investigations. 19 5(a)(18) Description of the metrics for OIG investigative table. 19 5(a)(19) Reports involving senior Government employees where allegations of misconduct were substantiated, including the facts and circumstances of the investigation and status and disposition of the matter. N/A 5(a)(20) Instance of whistle blower retaliation. N/A 5(a)(21) Attempted agency interference with OIG independence, including budget constraints designed to limit OIG capabilities; and incidents where agency has resisted, objected, or significantly delayed access to information. N/A 5(a)(22) Inspections, evaluations, audits, and investigations of senior Government employees undisclosed to the public. N/A Table 6: Funds Questioned or Put to Better Use for This Period [footnote 18] Reporting Area: Audits Number of Reports: 3 Number of Recommendations: 12 Questions Costs:-- Reporting Area: Investigations and Evaluations Number of Reports: 1 Number of Recommendations: 9 Questions Costs:-- Reporting Area: Investigations Number of Reports: 7 Number of Recommendations:-- Questions Costs: -- Table 7: FY 20120 Audits with Recommendations for Better Use of Funds No management decision was made by the start of the period: Number of Audit Reports 0 Total Funds Put To Better Use 0 Issued during the period: Number of Audit Reports 0 Total Funds Put To Better Use 0 In need of management decision during the period: Number of Audit Reports 0 Total Funds Put To Better Use 0 Management decision made during the period: Value of recommendations agreed to by management: Number of Audit Reports 0 Total Funds Put To Better Use 0 Value of recommendations not agreed to by management: Number of Audit Reports 0 Total Funds Put To Better Use 0 No management decision made by the end of the period: Less than six months old: Number of Audit Reports 0 Total Funds Put To Better Use 0 More than six months old: Number of Audit Reports 0 Total Funds Put To Better Use 0 Table 8: FY 2020 Audits with Questioned Costs No management decision made by the start of the period: Number of Audit Reports 0 Total Questions Costs 0 Unsupported Costs 0 Issued during the period: Number of Audit Reports 0 Total Questions Costs 0 Unsupported Costs 0 In need of management decision during the period: Number of Audit Reports 0 Total Questions Costs 0 Unsupported Costs 0 Management decision made during the period: Value of recommendations agreed to by management: Number of Audit Reports 0 Total Questions Costs 0 Unsupported Costs 0 Value of recommendations not agreed to by management: Number of Audit Reports 0 Total Questions Costs 0 Unsupported Costs 0 No management decision made by the end of the period: Less than six months old: Number of Audit Reports 0 Total Questions Costs 0 Unsupported Costs 0 More than six months old: Number of Audit Reports 0 Total Questions Costs 0 Unsupported Costs 0 Peer Review Reporting OIG's audit division undergoes external peer reviews at least once every three years. OIG was most recently the subject of a Council of the Inspectors General on Integ-rity and Efficiency (CIGIE) peer review for compliance with audit standards by the Architect of the Capitol OIG for the period ending March 31, 2019. The Architect of the Capitol OIG concluded that OIG�s system of quality control was suitably de-signed and complied with to provide reasonable assurance of conforming with ap-plicable professional standards in all material respects. Accordingly, the Architect of the Capitol OIG provided a �pass� rating, and no recommendations were made; this is the highest available rating. There were no outstanding recommendations from a previous peer review. OIG completed its most recent audit peer review of the Federal Housing Finance Agency audit division OIG in September 2019 for the period ending March 31, 2019. OIG issued a �pass� rating, did not make any recommendations in the peer review, and does not have any outstanding recommendations from past peer reviews con-ducted of other audit organizations. OIG was subject to its first CIGIE peer review for compliance with standards for inspections and evaluations by the Securities and Exchange Commission OIG for the period ending May 1, 2018. The team focused on OIG's policies and procedures. The review determined that OIG generally met the standards under review, and no recommendations were made. OIG completed its first CIGIE peer review for compliance with standards for inspec-tions and evaluations of the General Services Administration's Office of Inspections for the period ending June 30, 2020. We served in the lead role for the peer review, which was conducted in collaboration with the Architect of the Capitol's OIG. We determined that the Office generally met the standards under review, and no recom-mendations were made. We do not have any outstanding recommendations from past peer reviews conducted of other organizations. Office of the Inspector General � Organizational Chart Kurt W. Hyde, CPA, Inspector General Shaneka McCray, Administrative Officer Sheetal Gupta is on detail Deborah Lehrich, Counsel to the Inspector General Kimberly Byrd, Assistant Inspector General for Audits Sarah Sullivan, Management Analyst Stephen Gilbride, Director for IT Audits William Amos, IT Auditor Eric Mader, Audit Director Walter Obando, Acting Audit Auditor 2 vacant auditor positions Johnny Rivera, Assistant Inspector General for Investigations Justin Korber, Special Agent 1 vacant special agent position Office of the Inspector General Hotline Help Promote Integrity, Economy, and Efficiency Report Suspected Fraud, Waste, Abuse, or Mismanagement Complaints May Be Made Anonymously Office of the Inspector GeneralLibrary of Congress101 Independence Avenue, SE LM-630 Washington, DC 20540-1060 Find our hotline form at:https://www.loc.gov/about/office-of-the-inspector-general/contact-us/ Office of the Inspector General 101 Independence Avenue, SE Washington, DC 20540-1060 Footnotes: 1. Additionally, the Library has materials stored (per interagency contracts) in Cabin Branch and Landover, Maryland and Pittsfield, Massachusetts as well as per contract in Fredericksburg, Virginia. The Library also has materials stored in its overseas offices. 2. For purposes of this Top Management Challenge, the Library�s IT modernization effort is an agen-cy-wide endeavor to make IT service delivery more reliable and responsive. It is a broad initiative consisting of multiple IT projects. Modernization encompasses not only critical updates to the Li-brary�s IT infrastructure, but also involves internalizing business practices and processes that reflect industry best practices. The OCIO also supports the modernization efforts of the Library�s service units within the broader agency-wide modernization effort (e.g., the Copyright IT modernization effort). It had adopted cloud-based services where beneficial, supported an increasingly mobile work force, and narrowed IT workforce skills gaps. 3. IT Infrastructure was first referenced as a top management challenge in September 2011 which was renamed to IT Modernization in September 2019. 4. The Library�s FY 2021 appropriation totaled $757.3 million, of which $135.9 million, almost 18 percent, was allocated to OCIO. Recent major investments in IT modernization began in FY 2017 with the Library�s request of $57.7 million for a three-year investment to migrate to an alternate pri-mary computing facility. Since then, the Library has requested new resources and funding authority for various components of IT modernization such as $9.7 million in FY 2018 to modernize its IT network infrastructure. In addition, the USCO and OCIO developed a request of $53.9 million over five years for the Copyright Modernization Enterprise Solution project, which began in FY 2019. 5. At the time of issuance of this report, there is a discrepancy between the accounting of costs and personnel in FSD versus the OCIO. FSD provided the figures to OIG and a reconciliation is in process. 6. OIG reports 2018-IT-107, Library Working through Agile Delivery Method Challenges for Copyright IT Mod-ernization Project, August 2019; and 2019-IT-104, IT Modernization Evaluation, February 2021. 7. OIG report 2019-IT-104, IT Modernization Evaluation, February 2021. 8. The Library does not have �programs� similar to the Executive Branch. However, under project management principles, a program is a collection of projects that are managed as a group in order to achieve efficiencies of scale. A related concept is project portfolio management, a method for organi-zations to manage and evaluate a large number of projects by grouping them into strategic portfolios. Portfolios are then analyzed for overall effectiveness, how their estimates compare with actual costs and whether they align with larger, strategic objectives of the organization. 9. GAO-15-315, Library of Congress: Strong Leadership Needed to Address Serious Information Technolog y Man-agement Weaknesses, March 2015. 10. GAO-20-195G, Cost Estimating and Assessment Guide, March 2020. GAO first issued its cost estimat-ing and assessment guide in March 2009. 11. FSD has identified its future needs to implement better cost management, but interim steps are needed to bridge the gap. For FY 2022, the Library requested $2.7 million in consolidated program-matic funding to establish a new Enterprise Planning & Management (EPM) program led by FSD to address audit findings concerning cost estimating and cost accounting. The initial EPM funding request aims to build a base of expertise in the Library in cost management as well as data science and data architecture, and develop processes necessary to optimize cost management practices and lay the foundation necessary for the implementation of more advanced financial planning capabili-ties and technology. Ultimately, the EPM program will use the Library�s financial management and planning data to drive decision making to improve performance in programs, projects, and activities surrounding the Library�s investments. 12. GAO�s Schedule Assessment Guide defines an IMS as a program schedule that includes the entire re-quired scope of effort, including the effort necessary from all government, contractor, and other key parties for a program�s successful execution from start to finish. An IMS consists of logically related activities whose forecasted dates are automatically recalculated when activities change. 13. OCIO proposed developing a PMO Execution Roadmap, establishing a lexicon of classifications and terms, and creating an implementation plan and IMS for core technology. 14. Data were compiled from a review of the Investigations Division's database and files. 15. The status of recommendation updates are Library management's assertions and have not been audited. 16. OIG contracted with an independent certified public accounting firm to complete the Library's FY 2019 financial statements audit. 17. Section 5 (except (a)(13)) of the Inspector General Act of 1978, as amended, 5 U.S.C App, applies to the Library's OIG through the Library of Congress Inspector General Act of 2005, as amended, 2 U.S.C � 185. Section 5 states, "Each Inspector General shall, not later than April 30 and October 31 of each year, prepare semiannual reports summarizing the activities of the Office during the immediately preceding six-month periods ending March 31 and September 30." 18. Funds that (1) are questioned by OIG of an alleged violation of a provision; costs not supported by adequate docu-mentation (unsupported costs); or a finding that the expenditure of funds for the intended purpose is unnecessary or unreasonable; or (2) could be used more efficiently if management took actions to implement and complete the recom-mendation. For example, recommendations that funds be put to better use could result in reductions in spending, deobligations of funds or funds, or avoidance of unnecessary spending. Images featured in the report are part of the Library of Congress collections. Repositories included the Manuscript Division, Prints and Photographs Division, and Rare Book and Special Collections Division at the Library of Congress. 1. Abraham Lincoln�s reading copy of his second inaugural address. Lincoln cut apart a printed copy of the address and pasted the pieces on this sheet of paper, creating visual cues that would help pace his delivery of the speech. In the days before the inauguration, Lincoln drafted the speech by hand, then sent the pages to the Government Printing Office to be typeset. Both the original, handwritten draft and the typeset version are held in the Lincoln papers at the Library. Lincoln made corrections on the printed proof and then cut the text into 27 pieces and glued them to a sheet. Lincoln, Abraham. Abraham Lincoln papers: Series 3. General Correspondence. 1837 to 1897: Abraham Lincoln, March 4, 1865 Second Inaugural Address; endorsed by Lincoln. March 4, 1865. Manuscript Division. 2. On April 30, 1789, George Washington was inaugurated in New York. In his inaugural address Washington said in public what he had been saying all year in private: �Among the vicissitudes incident to life,� he told his hearers, �no event could have filled me with greater anxieties� than learning he had been elected president. Washington, George. George Washington's first inaugural address, 30 April, 1789. Manuscript Division. 3. Theodore Roosevelt, ca. 1904; Abraham Lincoln, 1865; George Washington, 1828; Thomas Jefferson, ca. 1825; Andrew Jackson, ca. 1860; James Madison, ca. 1830; Ulysses S. Grant, 1869; John Adams, 1828; Prints and Photographs Division. 4. N. Currier. Washington's reception by the ladies, on passing the bridge at Trenton, N.J. April: on his way to New York to be inaugurated first President of the United States. , ca. 1845. Doolittle, Amos, Engraver. Federal Hall, The Seat of Congress/Peter Lacour delin; A. Doolittle sculpt. New York, 2000. Prints and Photographs Division. 5. George Washington passed through several cities�including Philadelphia and Trenton�on the way from his home at Mount Vernon to his first inauguration at Federal Hall in New York City, then the temporary capital of the United States. The image on the left captures the public adulation that greeted the first president-elect along his route to New York. On April 30, 1789, the Chancellor of the State of New York, Robert Livingston, administered the oath of office to George Washington on the balcony of Federal Hall. Aware of the importance of this national ritual, Washington set many precedents during his first inauguration: the swearing-in took place outside; the oath was taken upon a Bible; an inaugural address was given (to the assembled Congress inside the Hall) the contents of which set the pattern for all subsequent addresses; and festivities accompanied the inauguration, including a church service, a parade, and fireworks. 6. First inauguration of Franklin D. Roosevelt on March 4, 1933. Franklin and Eleanor Roosevelt attended St. John�s Church for a morning worship service, beginning a new tradition. FDR used the Roosevelt family bible for all four Presidential Inaugurations. It is the oldest Inaugural Bible, printed in 1686, and the only one written in a modern foreign language: Dutch. The Roosevelts had planned to host a buffet luncheon at the White House for several hundred guests after the Inauguration. However, at the last minute, Mrs. Roosevelt cancelled the luncheon in deference to the passing of Senator Thomas J. Walsh, recently deceased. Roosevelt had selected Senator Walsh to serve as attorney general. 7. Harris & Ewing. Inauguration of Franklin D. Roosevelt. Roosevelt at podium, U.S. Capitol, Washington, D.C. United States, 1933; Franklin Delano Roosevelt and Herbert Hoover in convertible automobile on way to U.S. Capitol for Roosevelt's inauguration, March 4. Washington D.C., 1933; Harris & Ewing; Franklin D. Roosevelt inauguration. Eleanor Roosevelt and Franklin D. Roosevelt and photographer outside White House, Washington, D.C. United States, 1933. Prints and Photographs Division. 8. The fourth inauguration of Franklin D. Roosevelt as President of the United States was held on Saturday, January 20, 1945. This was the 40th inauguration and marked the commencement of the fourth and final term of Franklin D. Roosevelt as president and the only term of Harry S. Truman as vice president. At the height of World War II, Franklin D. Roosevelt's fourth Inauguration was simple and austere with no fanfare or formal celebration following the event. There was no parade because of gas rationing and a lumber shortage. 9. Lakey, J. Sherrel. Inauguration of Franklin Delano Roosevelt at White House. United States Washington D.C., 1945; This page: Harris & Ewing. Crowd stands in snow for inauguration�Washington, D.C., Jan. 20, 1945. Prints and Photographs Division. 10. Dunn, Robert Lee. The new president takes the oath of office. The Wilcox home in which President Roosevelt was sworn in. New York Buffalo, 1901. Prints and Photographs Division; [bottom]: Theodore Roosevelt in Carriage on Pennsylvania Avenue on Way to Capitol, March 4, 1905. Prints and Photographs Division; Roosevelt, Theodore. Inaugural address, March 4, reading copy, with Roosevelt's emendations, March 4, 1905. Manuscript Division. 11. Theodore Roosevelt became President upon the assassination of William McKinley, who was shot by Leon F. Czolgosz in Buffalo, New York on September 6, 1901. McKinley died on September 14, 1901. Roosevelt took the oath of office at the Wilcox House in Buffalo, NY. No Bible was used when Roosevelt took the oath of office. 12. Roosevelt's second inaugural procession was notably more festive. The president-elect waved to the thousands of well-wishers lining the route, as a contingent of Rough Riders (shown in photograph), who had charged San Juan Hill with Roosevelt eight years earlier, escorted him. In contrast to the jubilant festivities, Roosevelt delivered a short, dignified inaugural speech for which the Library has his random notes, also shown here. It was the first time that telephones were installed on the Capitol Grounds for an inaugural ceremony. 13. William H. Taft's inauguration took place in the Senate chamber because of blizzard. Strong winds toppled trees and telephone poles, trains were stalled, and city streets were unpassable. City workers shoveled sand and snow through half the night. It took 6,000 men and 500 wagons to clear 58,000 tons of snow and slush from the parade route. Helen Herron Taft became the first First Lady to accompany her husband on the return ride from the Capitol to the White House following his Inauguration. 14. Taft & Roosevelt driving to Capitol, Mar. 4. Washington D.C., 1909; President and Mrs. Taft leaving the Capitol to head the parade to the White House March 4. Washington D.C., ca. 1909; President Taft is here photographed with Edward F. Stallwagon i.e. Edward J. Stellwagen, Chief of the Inaugural Committee, and with Vice President James S. Sherman�A severe blizzard hindered the ceremonies. Washington D.C., 1909. Prints and Photographs Division. Taft, William H. William H. Taft Papers: Series 25: Miscellany, -1930; Cartoons. - 1930. Manuscript Division. 15. Calvin Coolidge was sworn in as president in the early morning hours of Aug. 3, 1923, following the unexpected death of Warren G. Harding. John Coolidge, a justice of the peace, administered the oath of office to his son in the family home in Plymouth Notch, Vermont. Coolidge's second inauguration on March 4, 1925 was the first-ever inaugural ceremony broadcast nationally by radio and the first time a former President, William H. Taft, administered the oath of office as Chief Justice of the Supreme Court. Boston Daily Globe photographer James L. Callahan captured Bernard �Pinkie� Sinay�s official greeting of the new president at the North Bennington train station. Pinkie was the son of local carpenter Frank Sinay. 16. Calvin Coolidge taking the oath of office. Washington D.C., ca. 1924; Coolidge, Calvin. Calvin Coolidge Pa pers: Series 1: Executive Office Correspondence, -1929; Case files; 69 cont.-72, 1925, Aug. 24. 1925; Calvin Coolidge taking the oath of office. Wash-ington D.C, ca. 1924; Opposite Page: President Coolidge, Mrs. Coolidge and Senator Curtis on the way to the Capitol. Washington D.C., 1925; Berryman, Clifford Kennedy. Choosin' to Run Isn't as Restful as This, 1928. Manuscript Division and Prints and Photographs division. 17. Cartoon shows President Coolidge relaxing in a canoe, fishing pole in hand. The President remarks, "Choosin' to run isn't as restful as this." While politicians campaigned for the presidency, Coolidge spent the last summer of his term relaxing at a cabin on the Brule River in Wisconsin. His words reflect the six-word statement he had issued a year earlier announcing that he would not seek another term as president, "I do not choose to run." 18. Ulysses S. Grant, elected as the eighteenth president of the United States, wrote his first inaugural address entirely on his own. The result was a surprise lecture on the urgent need for reduction of the national debt. The issue of Reconstruction was scarcely mentioned. Grant may have accepted the responsibilities of the office of president "without fear," as he claimed, but also without knowledge of the problems that confronted the nation in the aftermath of the Civil War. Andrew Johnson did not accompany President-elect Grant to the Capitol, nor did he attend the Inaugural ceremonies. Instead, he remained at the White House signing last-minute legislation. 19. The raucousness of the crowd in front of the White House at Andrew Jackson's first inaugural reception in 1829. During the inaugural festivities, the rowdy mob broke windows, tore down curtains, and stood upon the furniture in their muddy boots. Servants dragged tubs of punch onto the lawn to draw the unruly mob out of the president's house in order to minimize the destruction. Jackson is the first president to take the oath of office on the east front portico of the U.S. Capitol. Outgoing President John Quincy Adams did not attend his successor's Inaugural Ceremony. Relations between the two men were not good after the bitter campaign of 1828. Jackson blamed the verbal attacks made by Adams and his political allies for the death of his wife. 20. Grover Cleveland is the only President to have served two non-consecutive terms, first in 1885 and again later in 1893. He is, therefore, referred to as the 22nd and 24th President of the United States. 21. A large crowd of people waiting during President Abraham Lincoln's inauguration, which was held on a rainy day at the U.S. Capitol grounds in Washington, D.C. The crowd includes African American troops who marched in the inaugural parade. In considering the Civil War that had begun in 1861 and was nearing conclusion, Lincoln ended his speech with the famous phrase: "With malice toward none, with charity for all...let us strive on to finish the work we are in...to do all which may achieve and cherish a just and lasting peace among ourselves and with all nations." In the background are Congressional boarding houses on A Street, N.E. between Delaware Ave. and First Street, N.E. 22. Crowd at Lincoln�s second inauguration, March 4, 1865. Washington, D.C. Prints and Photographs Division. 23. The Holy Bible on which President Abraham Lincoln took his oath of office as the 116th president of the United States on March 4, 1861. The ceremony was witnessed by Clerk of the Supreme Court, William Thomas Carroll, who recorded the occasion in the back of this Bible, certified with a U.S. Supreme Court seal on a bright blue paper wafer. This Bible was also used by Barack Obama for his oath of office as the 44th president of the United States on January 20, 2009, and the inauguration ceremony on January 21, 2013. It is also one of the two Bibles used by Donald Trump for his oath of office as the 45th president on January 20, 2017. 24. The Holy Bible, containing the Old and New Testaments. Oxford: University Press; London: sold by E. Gardner, 1853. Rare Book and Special Collections Division. 25. On the evening of the second inauguration, President and Mrs. Lincoln held a reception at the White House that was attended by generals, cabinet members and their wives, and other dignitaries. Although this lithograph shows General Grant and his wife being greeted by the Lincolns, they were actually not present at the reception. Later in the evening, as was customary, the doors were opened to the public, and it is estimated that Lincoln shook hands with between five and six thousand people during the course of the event. The photograph of Mary Todd Lincoln shows her wearing the jewelry gifted to her by Lincoln, as well as the ball gown that she wore to Lincoln�s first inaugural ball. Abraham Lincoln purchased this jewelry set at Tiffany�s in Manhattan for his wife to wear for the first inaugural ball of his presidency. This exquisite necklace and two bracelets came to the Library in 1937 as part of the gift from Lincoln�s granddaughter, Mary Lincoln Isham. 26. Brady, Matthew. Mary Todd Lincoln, 1861; Tiffany. Mary Todd Lincoln's seed-pearl necklace and matching bracelets; Lincoln,Inauguration ball, Monday evening, March 6. Prints and Photographs Division. Dance card for Lincoln's inaugural ball, Washington, D. C., March 4, 1861; Admit one gentleman and two ladies. Washington, D. C., 1865. Rare Book and Special Collections Division. 27. Inauguration of Mr. Lincoln, March 4. Washington D.C., 1861. Prints and Photographs Division. Right: Captain Montgomery Meigs (1816�1892). Holograph diary [in short-hand] entry for March 4, 1861. Manuscript Division. 28. Abraham Lincoln's procession to the Capitol was surrounded by heavily armed cavalry and infantry, providing an unprecedented amount of protection for the President-elect as the nation stood on the brink of war. For a good part of his first term as president, Lincoln doubted that he would be elected to a second term. In a letter to his cabinet members, including Secretary of State William H. Seward and Secretary of War Edwin M. Stanton, Lincoln dwells on the forthcoming election and the long hiatus between election and inauguration. Assuming that "this administration will not be reelected,"Lincoln wrote "it will be my duty to so cooperate with the president-elect as to save the Union between the election and the inauguration, as he will have secured his election on such ground that he cannot possibly save afterwards." Montgomery C. Meigs, the Supervisory Engineer of the Capitol expansion and the future Quartermaster General of the Union Army, witnessed the inauguration of Abraham Lincoln on March 4, 1861. Shown here is his diary, written in an archaic shorthand�called Pittman�and a stereograph view of the Capitol. Meigs summarized the President's Address in his diary, but nowhere is the effect of the speech better depicted than in the account Captain Meigs wrote to his brother John: It was a noble speech...delivered with a serious and solemn emphasis...No time was wasted in generalities or platitudes...and no one could doubt that he meant what he said...the disease of the body politic was analysed [sic], its character & its remedy pointed out, & each sentence fell like a sledge hammer driving in the nails which maintain the states. 29. The new President delivering his inaugural address March 4. Washington D.C., ca. 1897. Opposite: U.S. Inauguration Committee. Inauguration ceremonies. Admit an employee of the Library of Congress, to the platform, after the procession from the Senate Chamber...Committee of arrangement, 1897. Prints and Photographs Division. 30. The first inauguration of William McKinley as the 25th President of the United States took place on Thursday, March 4, 1897, in front of the Old Senate Chamber at the United States Capitol, Washington, D.C. This was the 28th inauguration and marked the commencement of the first, and eventually only full term of William McKinley as President and the only term of Garret Hobart as Vice President. Chief Justice Melville Fuller administered the presidential oath of office. This was the first inauguration to be recorded on film. 31. Librarian of Congress Carla Hayden, Poet Laureate Tracy K. Smith, and National Youth Poet Laureate Amanda Gorman attend a reception prior to the opening reading of Smith�s 2017-2018 term, September 13, 2017. Photo by Shawn Miller; Inaugural Poet Amanda Gorman gestures while reading her poem The Hill We Climb at the 2021 presidential inauguration. Photo courtesy of Corinna Schutte, Joint Congressional Committee on Inaugural Ceremonies; Frost, Robert. The Gift Outright, 1961. Manuscript Division; Albertin, Walter. Robert Frost, poet who is 85 years old today / World-Telegram, 1959. Prints and Photograhs Division; An Inaugural Poem. Printed in the Chronicle Junior, a special edition of the Washington paper Daily Morning Chronicle, on a press in a wagon during Lincoln's inaugural parade, March 4, 1865. Manuscript Division. 32. On January 20, 1961 Americans watching television, listening to the radio, or standing on the Capitol grounds heard these famous words: "And so, my fellow Americans: ask not what your country can do for you--ask what you can do for your country. My fellow citizens of the world: ask not what America will do for you, but what together we can do for the freedom of man." So said John F. Kennedy when he was sworn in as 35th president of the United States. After the applause, Kennedy welcomed to the podium one of America's great poets, fellow New Englander Robert Frost. Frost had written a poem for the occasion called Dedication. He approached the microphone, but blinded by the sun's glare on the snow-covered Capitol grounds, he was unable to read it. Thinking quickly, he instead recited The Gift Outright, a poem he had written in 1942. Library of Congress Management Response: Library Library of Congress Memo Office of the Librarian Date: May 24, 2021 To: Kurt Hyde, Inspector General From: J. Mark Sweeney, Pricipal Deputy Librarian of Congress Subject: Management Response to March 2021 Semiannual Report A year after our forced closure of the Library buildings due to an unprecedented pandemic, we are proud to report that the Library has persisted in carrying out its mission of serving Congress and the American public with efficiency and creativity. Transitioning to agency-wide remote telework, holding our first virtual National Book Festival, moving onstage concert series to online platforms, and expanding volunteer supported transcribing projects all have enabled the Library to not only sustain services, but also to expand opportunities to a broader audience. In large part, this has been due to the extraordinary efforts of the Office of the Chief Information Officer (OCIO), which has provided ongoing support for Library employees while continuing to develop Library web services and migrate to a new data center. Accordingly, the OIG's March 2021 semiannual report focuses on issues of increasing importance to the Library: the modernization of Library-wide information technology (IT), which includes enhancement of IT infrastructure, IT security, and mission-specific IT projects; and associated project management tracking and cost estimation and validation. As the Library's IT governance and investment management practices improve, the Library looks to fill data gaps and leverage existing information to facilitate future growth. Although the Library's IT activities do not stem from a single, comprehensive requirement -- instead reflecting a variety of missions and strategic objectives with different appropriations -- the Library and the OIG have resolved upon the following activities: (a) develop an integrated master schedule portraying OCIO-owned core technology, which we anticipate will be useful in informing discussions or planning as OCIO works with appropriate Library service units to develop separate integrated master schedules for service-unit owned IT programs; and (b) execute a roadmap that, by building on current project management office efforts, will portray the next stages to execute established project management policies and then maintain consistency and quality of execution across projects. Also, while we appreciate OIG's perspective on the urgency and desire for ever greater detail in program, project, and activity costing, we maintain that documentation should be appropriately tailored to the scale of Library activities. Thus, a methodical approach, such as having the Financial Services Directorate first cultivate expertise and then develop an enterprise planning and management program by periodically testing anticipated practices and procedures on actual projects over time, will result in the greatest return on investment. Then the Library will be positioned to assess applicable cost management principals in conjunction with accounting standards and make an educated and informed determination of the appropriate levels and details of tracking and reporting of program, project, and activity costs that will provide maximum benefit within the confines of the Library's program goals and resources. As you note, this approach has already been initiated, but may take time to accomplish. In the interim, the Library continues to address the challenges of perpetual IT modernization. As technology evolves and Library practices mature, flexibility remains key to allow the Library to pivot in response to unanticipated events. We recognize such shifts may result in adjustments to previous budgetary expectations and will continue to pursue solutions that do not interfere with project execution while maintaining transparency about cost variances. We also appreciate the OIG's collaboration on the many other audits and investigations conducted during this reporting period.