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This is the accessible text file for semi annual report issued by Office of the Inspector General in March 2014.
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The Library of Congress, Office of the Inspector General
  Semiannual Report to the Congress, March 2014.
Front Cover: Cherry blossom tree on the Library’s grounds. A gift of friendship from Tokyo, Japan to Washington, DC in 1912. Photograph: Jennifer Bosch, OIG
This semiannual report features images of cherry blossoms from the Library’s collections and grounds. In 1912, the city of Tokyo, Japan presented 3,020 cherry blossom trees to the city of Washington, DC as a gift of friendship. The trees were planted along the Tidal Basin and by the 1920s had overcrowded
  the landscape and required transplantation. Today, the Library is home to two of the transplanted trees and photographs of those trees are included in this report. For more information about the Library’s collection of cherry blossom images, related artifacts, and Tokyo’s gift of friendship please visit: <a href="/exhibits/cherry-blossoms">www.loc.gov/exhibits/cherry-blossoms</a>.
Above Photograph: The Washington Monument and Tidal Basin with cherry blossoms, c. 2007.
Photograph By: Carol Highsmith
Repository: Prints and Photographs Division
Message From the Acting Inspector General
In the last six months, we issued reports on the Library’s FY 2013 financial statements audit and the alternate computing facility. We are pleased to report that for the eighteenth consecutive year, the Library received an unmodified opinion on its consolidated financial statements. We also continued a facilities planning review, completed an in-progress investigation of a former Library contractor, and obtained a nine-year criminal sentence in our nationally covered stalking case. Additionally, our long-tenured Inspector General, Karl W. Schornagel, retired. During the next six months, we will report on the Library’s processing of born-digital collection items in the eDeposit program; information technology consulting services contract; use of the life cycle systems development process; information technology system certification and accreditation efforts; and collections policy management of the Prints and Photographs division. The Library implemented fifteen of our recommendations from prior semiannual periods, including eight recommendations from reports that were not for public release. The Library also incorporated suggestions from our investigations division regarding non-business Web site access for Library employees. Our publicly released reports are available online at <a href="//www.loc.gov/about/oig">www.loc.gov/about/oig</a>. We appreciate the cooperative spirit Library staff have shown during our reviews.
Kurt W. Hyde Acting Inspector General
Spread: Photographic print of a view from the Tidal Basin with cherry blossoms and the Washington Monument, c. 1920.
  Repository: Prints and Photographs Division
Table of Contents

  •Profiles page 1
  •Top Management Challenges page 6
  •Audits, Surveys, and page 10
  •Alternate Computing Facility page 10
  •Library of Congress FY2013 Financial Statements page 10
  •Investigations page 13
  •Significant Criminal, Civil, and Administrative Investigations page 14
  •Follow-up on Investigative Issues from Prior Semiannual Reports page 14
  •Other Activities page 15
  •Assistant Inspector General for Investigations Assists with House OIG Presentation page 15
  •OIG Oversight of CIGIE Financial Statements and Fund Balance page 15
  •Investigative Database page 15
  •Review of Legislation and Regulations page 16
  •Unimplemented Recommendations page 17
  •Implemented and Closed Recommendations page 25
  •Funds Questioned or Put to Better Use page 27
  •Instances Where Information or Assistance Requests Were Refused page 28
  •Status of Recommendations Without Management Decisions page 28
  •Significant Revised Management Decisions page 28
  •Significant Management Decisions with Which OIG Disagrees page 28
  •Follow-up on Prior Period Recommendations page 28
  •OIG Organizational Chart page 29
  •Hotline Information Inside Rear Cover 1

Library of Congress
The Library of Congress (Library) is the research and information arm of
  the United States’ national legislature and the world’s largest storehouse
  of knowledge. The mission of the Library is to support the Congress in
  fulfilling its constitutional duties and to further the progress of knowledge
  and creativity for the benefit of the American people. The mission is
  accomplished through more than 3,300 employees and contractors, and
  more than $800 million in annual appropriated funds and other financing
  sources.
Founded in 1800, the Library is also the nation’s oldest federal cultural
  institution, holding more than 155 million items on 838 miles of shelves.
  These items include books, manuscripts, maps, prints and photographs,
  printed music, sound recordings, films, and microforms. Half of the
  Library’s collections are from outside the United States, representing 470
  languages. In addition to its three Capitol Hill buildings and Taylor Street
  Annex in Washington, DC, the Library operates six overseas offices and
  stores collections material in purpose-built facilities in Maryland, Illinois,
  and at the National Audio Visual Conservation Center in Culpeper,
  Virginia. More than 37 million original source analog items have been
  digitized and are accessible at <a href="//www.loc.gov">www.loc.gov</a>. The Library also holds a rapidly
  expanding collection of digital-born content.
The Library’s core organizational components are:

  •The Office of the Librarian,
  •Library Services,
  •The U.S. Copyright Office,
  •The Congressional Research Service,
  •The Law Library,
  •The Office of Strategic Initiatives, and
  •The Office of Support Operations.

The Office of the Librarian provides leadership and executive management
  to the Library, overseeing the implementation and management of the
  Library’s mission to support the Congress in fulfilling its constitutional
  duties and to further the progress of knowledge and creativity for the benefit
  of the American people.
Page 2 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
Profiles
Library Services performs the traditional functions of a national library:
  acquisitions, cataloging, preservation, and reference services for both digital
  and conventional collections. It operates the National Library Service for
  the Blind and Physically Handicapped and the American Folklife Center,
  among other programs.
The U.S. Copyright Office administers the copyright laws of the nation
  and registers copyrightable material; its deposits of intellectual material
  (such as, books, music, and movies) substantially contribute to the Library’s
  collections.
The Congressional Research Service supports the legislative process by
  providing exclusively to Congress objective, confidential assessments of
  public-policy issues, and legislative options for addressing those issues.
  The Law Library assists Congress and the legislative process by supporting
  comprehensive research on foreign, comparative, international, and
  U.S. law, and other legal reference services.
The Office of Strategic Initiatives directs the national program for longterm
  preservation of digital cultural assets, leads a collaborative institutionwide
  effort to develop consolidated digital future plans, and integrates the
  delivery of informtion technology (IT) services.
The Office of Support Operations provides centralized leadership and
  oversight of infrastructure services and includes: Human Resources
  Services, Integrated Support Services, the Office of Security and Emergency
  Preparedness, and the Office of Opportunity, Inclusiveness, and Compliance.
  Last year, services provided by the Library included:

  •Fulfilling 513,946 reference requests,
  •Circulating 25 million disc, cassette, and Braille items to more
    than 800,000 blind and physically handicapped patrons,
  •Registering 496,599 copyright claims,
  •Receiving 15,000 items daily and adding more than 12,000 items
    daily to its collections,
  •Responding to more than 636,000 congressional reference requests
    and delivering to Congress more than 1 million research products and
    approximately 23,000 volumes from the Library’s collections, and
  • Providing to Congress access to more than 9,000 reports on
    legislative issues and preparing more than 2,900 tailored
    analyses.

Page 3  MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
The Library of Congress also recorded 84 million visits and 519 million
  page-views of its primary source files on its Web site, and received 1.6
  million on-site visitors.
Office of the Inspector General
The establishment of statutory federal Inspector Generals (IG) began in 1978
  to create and empower independent audit and investigative organizations
  to focus on fraud, waste, and abuse within federal agencies. The Library of
  Congress Office of the Inspector General (OIG) was established in 1988 as
  a non-statutory office deriving its authority from the Librarian of Congress.
  The OIG became statutory with the passage of The Library of Congress
  Inspector General Act of 2005, with a mandate to:

  •Conduct and supervise audits and investigations 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.

The IG is a member of the Council of the Inspectors General on Integrity
  and Efficiency (CIGIE), a unified council of all federal statutory IGs, and
  serves on the council’s Audit and Legislation Committees. This Semiannual
  Report to the Congress is a part of the OIG’s statutory reporting requirements
  and is organized to address the major functions of the office including:

  •Significant audits, investigations, and other activities of the OIG,
  •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.
Page 4 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
Above Photograph: Watercolor by K. Tsunoi, Mikuruma-gaeshi, c. 1921. One of eleven illustrations affiliated
  with Dr. Shio Sakanishi, the first Japanese librarian at the Library of Congress.
  Repository: Asian Division
The Audits Division also contracts with an independent accounting firm
  that addresses whether financial statements fairly present financial positions,
  results of operations, and cash flows. The firm also assesses whether the
  Library and other entities have adequate internal control systems and
  comply with applicable laws and regulations.
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.
Our staff are educated and certified in various disciplines. We are,
  collectively, five certified public accountants, one attorney, one certified
  internal auditor, two certified information systems auditors, one certified
  computer examiner, one access data certified examiner, one certified forensic
  accountant, four seized computer evidence recovery specialists, four special
  agents, and other highly qualified staff.
  OIG reports are available at <a href="//www.loc.gov/about/oig">www.loc.gov/about/oig</a>.
Page 5  MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
Inspector General Retires
Karl W. Schornagel, Inspector General of the Library of Congress, retired
  in January of 2014. Mr. Schornagel’s career spanned over 34 years of federal
  agency service including nearly 13 years at the Library. He is the Library’s
  longest serving Inspector General, and the first to serve under the Library
  of Congress Inspector General Act of 2005.
During his tenure the Office of the Inspector General’s Audits Division
  received unqualified (pass) opinions on all external peer reviews conducted.
  His emphasis on, and adherence to, auditing standards was exemplified
  by his service as Vice Chairman on the CIGIE Audit, Legislation,
  and Investigations Committees. Mr. Schornagel is a Certified Public
  Accountant in Virginia, a member of the American Institute of Certified
  Public Accountants, and graduated from George Mason University with a
  Bachelor of Science degree in Business Administration.
Highlights of Mr. Schornagel’s career at the Library of Congress include
  conducting over 150 audit reports and closing over 650 investigation cases.
  As part of this work, he saved the National Library Service for the Blind and
  Physically Handicapped over $19 million in contract costs and recovered
  a $1 million settlement for improper billings by a security contractor. Mr.
  Schornagel also issued an analysis of the Library’s strategic planning for
  information technology investments and included recommendations for
  improving governance and realizing long-term savings for information
  technology systems. He also helped develop the Financial Hosting
  Environment for the Library’s business applications, thereby resolving
  material weaknesses and significant deficiencies threatening the Library’s
  independent auditor’s opinion on its financial statements. Mr. Schornagel
  chaired a legislative branch working group to develop and implement a
  single financial statement auditor contract, saving over $1.6 million in the
  audit fees.
Page 6 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
This section provides a collective summary of issues covered by OIG
  reviews that, in our view, represent long-term challenges for the Library of
  Congress.
Facilities Collections Storage—A major component of the Library’s mission is to
  properly store and preserve its collections. During the last semiannual
  period, we conducted a review of the Library’s processing, storage, and
  accessibility of materials and found that it poses a serious and growing
  challenge for the Library. As of September 30, 2012 eighteen percent of the
  collections were in arrearage and not readily available to researchers. Some
  items, received as far back as the 1980s, remain unprocessed.
In addition to accessibility, the rate of collection impacts storage facilities
  and the condition of the materials. As the Library adds about 250,000 books
  and periodicals to the collections each year, the space shortage will continue
  to worsen. The Library’s three Capitol Hill buildings are collectively at
  110 percent of their capacity, causing premature damage and deterioration
  to some of the buildings and its materials. The floors in the stacks of the
  Jefferson and Adams buildings are now used to store the general collections,
  and the Library is forced to double- and triple-shelve materials. Further
  exacerbating the storage issue is the lack of secure storage for some rare
  and valuable collection materials. The Law Library and the Music and
  Asian Divisions, among others, have been forced to store some of their rare
  materials in less-than-optimal conditions from a security and preservation
  point of view.
In 2002, collections storage modules at the Library’s Fort Meade location
  were to provide space for the growing collections. Additional modules were
  completed in 2005 and 2009 and include both general collection items and
  special collection materials such as maps, globes, manuscripts, prints and
  photographs, and sheet music. They are nearly filled to capacity. The FY
  2014 appropriation included funding for construction of a fifth module,
  however, the resulting space will not accommodate the growing collections.
  The Library is addressing the overflow through a number of interim
  measures. Among these is the installation of high-density shelving at its
  Landover warehouse to store an estimated 800,000 items, and an initiative
  to pursue alternative methods of shelving in its Capitol Hill facilities. The
  Library is also working with the Architect of the Capitol to lease additional
  facilities to house the overflow materials. In addition, the newly established
  Top Management Challenges
Page 7 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
Collections Development Office issued a report on the Library’s practice of
  obtaining duplicate copies for the general collections. The report suggested a
  study on the cost effectiveness of removing duplicate copies currently located
  in offsite storage facilities and purchasing second copies only when justified.
  The Librarian subsequently approved the report’s recommendations and we
  commend the Library’s accomplishments in this critical area.
Reading Room Space Allocations—The Internet age has allowed the
  Library to increase public access to its collections by digitizing and placing
  them online. Today, the Library’s Web site, www.loc.gov, receives billions of
  page hits annually. However, this shift in access modalities has resulted in a
  significant decrease in the in-person use of Library materials and resources.
  Consequently, there is a significant amount of underutilized reading room
  space.
In 2012 the Library initiated the I-900 program to address these concerns
  by consolidating collection materials into a Center of Knowledge within the
  Main Reading Room and adjacent spaces. The Library’s implementation
  of the plan was recently discontinued in favor of focusing on the strategies
  developed in the Futures Program. The first draft of the Futures Program
  action plan is targeted for completion in June of 2014. We will report on
  the progress of this program as well as determine its impact on the Library’s
  collections and storage challenges in our next semiannual report.
  Conference and Training Rooms—An OIG audit identified an increasing
  number of conference and training facilities in the Library’s James Madison
  Memorial Building. In 2008 there were more than 120 such facilities in
  the building totaling more than 42,000 square feet which were, in many
  cases, underutilized. Consolidating and centrally locating conference and
  training rooms, as the Copyright Office has done, would make a substantial
  contribution toward efficiency in the Library’s use of floor space.
Information Technology (IT)  - In 2009 we issued an audit report that focused broadly on the Library’s plan for managing its IT infrastructure investments. The audit looked at:

  •whether the Library’s IT Strategic Plan aligned with its overall strategic
    plan,
  •the validity and integrity of the IT plan,
  •the appropriateness and
    effectiveness of the Library’s IT organizational structure and placement, and
  •the extent to which relevant recommendations made by the National
    Research Council in a 2000 report were implemented by the Library.

We made a series of recommendations about:

  •maturing the Library’s
    IT strategic planning process,
  •making IT investments from a cost/benefit
    and institution-wide perspective,
  •considering organizational changes,
  •implementing an enterprise architecture program for planning future
    technology, and
  •improving customer service.

Page 8 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
In late 2011, we issued a follow-up report. In general, we found that the
  Library was implementing recommendations but the progress was slower
  than we had expected. We believe Library management’s continued focus
  on implementing these recommendations will result in substantial longterm
  efficiencies.
We continue to focus OIG efforts on the Library’s IT investments and
  operations. During this semiannual period, we engaged CliftonLarsonAllen,
  LLP (CLA) to perform a review of the Alternate Computing Facility. CLA
  issued its report and identified issues similar to our previous reports in 2002
  and 2009.
In its FY 2015 appropriations report, the U.S. House of Representatives
  Legislative Branch Subcommittee on Appropriations tasked the Government
  Accountability Office to perform a similar review to that performed by our
  office in 2009 and 2011. The evaluation will include, among other items,
  the Library’s strategic planning and governance structure for IT which
  relate to recommendations we made for improvement in prior reports.
Performance Management - As a result of several OIG audits, and at the direction of Congress, the Library adopted a planning, budgeting, and management system based on
  the Government Performance and Results Act (GPRA). In its initial stages,
  the Library established a GPRA-styled strategic planning process, linked its
  planning and budgeting to its strategic planning format, initiated GPRAstyled
  annual program plans, and introduced performance management
  to its workforce. The adoption of a GPRA-styled management approach
  will allow the Library to better analyze and report its activities and more
  successfully compete for diminishing discretionary funding. Recognizing
  that the Library has developed a robust planning and budgeting framework,
  it still has work to do to improve these processes.
  In passing the GPRA Modernization Act of 2010, Congress made
  adjustments to assure that agencies more efficiently manage their GPRA
  efforts, improve the quality of performance metrics, and clearly disclose
Page 9  MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
the accuracy of performance data. To its credit, Library management has
  designed a more comprehensive performance management approach for
  FY 2014 that should provide valid and reliable performance metrics to
  support management decision-making. The Library still needs to develop
  a mechanism for evaluating programs and establish a methodology to relate
  resource allocations to program performance.
Contracting - A series of OIG reports dating back to 2002 document weaknesses that
  have beset the Library’s contracting function. Principal areas of concern
  include a questionable understanding of federal contracting by participants
  in the contracting chain (ranging from the service units to the contracting
  office), poorly trained staff, a lack of continuity in leadership in the Office
  of Contracts Management, an inefficient financial system contracting
  module, and ineffective contract review quality assurance procedures.
  These deficiencies may prevent the Library from obtaining the best value in
  contracts and expose the Library to an unacceptably high risk of inefficiency
  and waste of funds.
Work we conducted during the March 2012 semiannual period concluded
  that the weaknesses we have reported in the Library’s contracting function
  continued, and in fact, the function had further deteriorated since our
  last report in 2008. The Library has begun to take action. In 2013, the
  Library appointed a new Director in the Office of Contracts and Grants
  Management, who brings extensive federal contracting and legal experience
  to the Library. We will actively monitor and report on progress in this area.
Page 10 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
Audits, Surveys, and Reviews
Library of Congress
Alternate Computing Facility Data Backup and Recovery Procedures, Audit Report No. 2013-IT-103
Congress created the Alternate Computing Facility (ACF) in 2002 to provide
  backup and business continuation for important systems and applications
  in the event of an interruption to Library operations at its Capitol Hill data
  center. In 2009, the OIG reported that it was unclear whether the Library’s
  operations at the ACF could successfully provide service to its customers in
  the event of a catastrophic failure of the main data center.
Based on OIG’s ongoing concern, we engaged CLA to perform an audit
  of the operating effectiveness of Information Technology Services (ITS)
  operations at the ACF, its compliance with Library policies, and ITS
  directives and procedures. In its report, CLA noted three internal control
  and operating issues at the ACF and made the following recommendations
  that were similar to those we made in 2009:
LOC’s Server Recovery Priorities May not be Efficiently Designed—
  The Library uses “tier“ categories to determine the priority for recovery
  of specific systems and applications at the ACF. Systems and applications
  with the highest mission priority are categorized as tier 1; tier 2 and 3
  are for less critical systems and applications. CLA found that systems
  and applications classified with different tiers were supported by the same
  servers at the ACF, which CLA believed could have a negative impact on the
  efficiency of recovery efforts. CLA recommended that ITS review common
  system platforms and evaluate whether consolidating servers to the same
  tiers (all tier 1 systems and applications segregated to dedicated servers)
  would be more effective. ITS should then revise the IT Strategic Plan and
  the Enterprise Architecture to be consistent with the current or the more
  effective method.
Master Tape Catalog and Tape Testing Activities Need to be
  Strengthened—CLA found that tier 1 and 2 systems were not tested at
  the ACF in accordance with Library policy. Only four of the fourteen tier
  1 and 2 applications managed by ITS were functionally tested during FY
  2013. Additionally, ITS does not test tape backups at the ACF as part
  of its normal disaster recovery testing. Furthermore, there is no copy of
Page 11 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
Right Photograph: View of the Thomas Jefferson Building with cherry blossoms.
  Photograph: Jennifer Bosch, OIG
the master backup tape catalog kept at the ACF. CLA recommended that
  ITS ensure that all high-impact (tier 1 and 2) systems go through disaster
  recovery exercises on a scheduled and regular basis, in accordance with
  Library policy. Additionally, CLA recommended that ITS utilize a master
  tape catalog at the ACF and routinely test restorations from tape media.
  Replication of Server File Systems Needs Improvement—CLA’s testing
  to evaluate the consistency and completeness of data transmission from
  the primary data center to the ACF found that replicated file systems were
  not mounted during normal operations preventing it from confirming that
  data on the Capitol Hill servers were successfully synced with ACF servers.
  Without a process that ensures critical files are accurately and completely
  sent to the ACF, ITS risks using incomplete or invalid data to restore
  mission critical systems.
CLA recommended that ITS: 1) monitor automated backup transmissions
  to the ACF to ensure the completeness and integrity of data transferred
  from file systems and directories, document known discrepancies, and
  implement adequate mitigating controls; and 2) periodically review and
  verify that server content at the ACF is valid and matches data at the
  primary facility.
Fiscal Year 2013 Financial Statements
Audit Report No. 2013-FN-101
We are pleased to report that for the eighteenth consecutive year, the
  Library has received an unmodified opinion (formerly called an unqualified
  or clean opinion) on its consolidated financial statements. Under contract
  with our office, CLA audited the Library’s FY 2013 consolidated financial
  statements. In the auditor’s opinion, the financial statements, including the
  accompanying notes, presented fairly, in all material respects, the financial
  position of the Library and its net costs, changes in net position, and
  budgetary resources for the year then ended, in conformity with accounting
  principles generally accepted in the United States.
The auditor’s consideration of internal controls over financial reporting
  resulted in no material weaknesses or significant deficiencies. The auditors
  found no instances of noncompliance with laws and regulations or other
  matters requiring reporting under generally accepted government auditing
  standards.
Page 12MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
Page 13 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
Investigations
<table border="1">
  <caption>
  Table 1: Investigation Case Activity
  </caption>
  <tr>
    <td></td>
    <th scope="col">Criminal/Civil</th>
    <th scope="col">Administrative</th>
    <th scope="col">Total</th>
  </tr>
  <tr>
    <th scope="row">From Prior Reporting Period</th>
    <td>25</td>
    <td> 9 </td>
    <td>34</td>
  </tr>
  <tr>
    <th scope="row">Opened</th>
    <td>13</td>
    <td>8</td>
    <td>21</td>
  </tr>
  <tr>
    <th scope="row">Closed</th>
    <td>12</td>
    <td>8</td>
    <td>20</td>
  </tr>
  <tr>
    <th scope="row">End of Period</th>
    <td>26</td>
    <td>9</td>
    <td>35</td>
  </tr>
</table>
<table border="1">
  <caption>
  Table 2: Hotline Activity
  </caption>
  <tr>
    <th scope="col">&nbsp;</th>
    <th scope="col">Count</th>
  </tr>
  <tr>
    <th scope="row">Allegations received</th>
    <td>23</td>
  </tr>
  <tr>
    <th scope="row">Referred to management</th>
    <td>9</td>
  </tr>
  <tr>
    <th scope="row">Opened as investigations</th>
    <td>5</td>
  </tr>
  <tr>
    <th scope="row">Opened as audit</th>
    <td>0</td>
  </tr>
  <tr>
    <th scope="row">Referred by audit division</th>
    <td>1</td>
  </tr>
  <tr>
    <th scope="row">Closed with no action</th>
    <td>9</td>
  </tr>
</table>
During the reporting period, we opened 21 investigations and closed 20. We forwarded two investigations
  to Library management for administrative action. Two investigations were forwarded to the Department
  of Justice for criminal prosecution, one was accepted and one is pending. Investigation case and Hotline
  activities are detailed below.
Page 14 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
Significant Criminal, Civil, and Administrative Investigations
Stolen Civil War Photograph
The OIG worked with the Office of the General Counsel to help resolve a
  claim that an ambrotype photograph in the Library’s collections properly
  belonged to the Ohio Historical Society. The photograph was stolen from
  the Ohio Historical Society in 1978, sold, and subsequently donated to the
  Library’s Civil War collection by a bona fide purchaser. With the assistance
  of the donor, OIG agents traced the sale of the item back to a deceased
  broker who was likely the original recipient of the stolen item. The Library
  is considering the OIG’s report and the Library’s legal authority to transfer
  the item to the Ohio Historical Society.
Referrals and Assistance to Other Law Enforcement Agencies
  During the reporting period, the OIG assisted a number of other federal
  law enforcement entities. These assists involved surveillance, reviewing security
  camera footage, and technical coordination in records management
  with multiple Library divisions. Of note, we assisted the United States
  Capitol Police on two cash thefts and a theft of government property with
  the Architect of the Capitol. We also assisted with a request from National
  Aeronautics and Space Administration OIG concerning a Federal Employees’
  Compensation Act claim.
Follow-up on Investigative Issues from Prior Semiannual Reports
  Employee Misconduct
We previously reported on a harassment complaint regarding a Library employee
  threatening a former acquaintance. The employee had posed as the
  victim, posting over 100 Craigslist ads from his Library computer for sexual
  encounters. The employee was arrested and indicted for stalking from a
  federal facility, violating the terms of a protective order, and identity theft
  and held without bail due to the serious nature of the crimes.
  During this reporting period, the employee was terminated from the Library
  and was sentenced to 66 months in a federal correctional facility,
  three years of supervised release after the sentence, and was ordered to pay
  $3,000 in restitution. As a result of this case and others with similar patterns,
  OIG recommended that the Library block employee access to certain
  non-business related Web sites. The Library subsequently implemented our
  recommendation.
Page 15 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
Investigative Database
To assist with recoveries of stolen property, OIG added access to an additional
  database to increase our investigative effectiveness. We are now
  able to search for stolen items throughout the country using an enhanced
  reseller and pawn shop database.
OIG Oversight of CIGIE Financial Statements and Fund Balance
The OIG oversaw CIGIE’s FY 2013 financial statements audit. OIG’s
  oversight included reviewing the contractor’s audit report, working papers,
  and related documentation, and inquiring of its representatives. OIG found
  no instances where the contracting firm did not comply, in all material
  respects, with generally accepted government auditing standards. OIG also
  conducted an agreed upon procedures engagement to confirm the CIGIE’s
  Sunshine Fund balance as of December 11, 2013.
Assistant Inspector General for Investigations Assists House OIG in Presentation
At the request of the Inspector General for the House of Representatives,
  the Library’s Assistant Inspector General for Investigations along with the
  Institute of Internal Auditors participated in developing and presenting an
  on-site training presentation, When Audits Become Investigations. This presentation
  is available as a Webinar for continuing education and has been
  used by over 2,500 internal auditors.
Other OIG Activities
Left: Cherry blossoms around the Tidal Basin.
Photograph: Carol Highsmith, between 1980
  and 2006
Repository: Prints and Photographs Division
Page 16 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
Review of Legislation and Regulations
<table border="1">
  <caption>
  Table: Review of Library of Congress Regulations (LCRs) and Directives
  </caption>
  <tr>
    <th scope="col">Reviewed</th>
    <th scope="col">Comments by the Office of the Inspector General</th>
  </tr>
  <tr>
    <th scope="row">LCR 811
      Required Information about Readers</th>
    <td>We commented that the LCR did not address the revocation of a reader card or any revocation related issues.</td>
  </tr>
  <tr>
    <th scope="col">LCR 1815-1
      Reporting Missing or Stolen
      Library Property</th>
    <td>We commented that the LCR should reference appointing an authority in Library Services to ensure
      follow-up action on missing or stolen property. We also made several recommendations for removing
      active assets and suggested establishing a category for property that is not capitalized. Finally, we
      stated that the responsibility and authority of the OIG should be clarified in appropriate sections.</td>
  </tr>
  <tr>
    <th scope="row">LCR 2017-2
      Performance Appraisal Plan for
      Non-Bargaining Unit, Non-Managerial/Non-Supervisory
      Staff, GS-15 and Below</th>
    <td>We recommended adding language highlighting workforce performance management as an essential
      component of planning and budgeting and stated that performance plans should align with annual program goals and the Library’s strategic plan. We made suggestions regarding performance appraisals,
      general clarification of roles, terminology, and definitions throughout the LCR and recommended defining the mechanisms that ensure adherence to the regulation.</td>
  </tr>
  <tr>
    <th scope="col">LCR 2017-2.2
      Performance Appraisal Plan for Managers and Supervisors,
      GS-15 and Below</th>
    <td>We recommended adding language highlighting workforce performance management as an essential component of planning and budgeting and stated that performance plans should align with annual program goals and the Library’s strategic plan. We made suggestions regarding performance appraisals, general clarification of roles, terminology, and definitions throughout the LCR and recommended defining the mechanisms that ensure adherence to the regulation. </td>
  </tr>
</table>
Page 17 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
<table border="1">
  <caption>Table 4A: Significant Recommendations from Previous Semiannual
    Reports for Which Corrective Action Has Not Been Completed</caption>
  <tr>
    <th scope="col">Subject</th>
    <th scope="col">Report No.</th>
    <th scope="col">Issue Date:</th>
    <th scope="col">Office Rec.No.</th>
    <th scope="col">Summary and Status of Recommendation</th>
  </tr>
  <tr>
    <th colspan="5">Office of the Librarian</th>
  </tr>
  <tr>
    <td>Raiser’s Edge Software Program</td>
    <td> 2006-IT-302
      December 2007</td>
    <td>Development Office </td>
    <td>III</td>
    <td>System managers for Raiser’s Edge should regularly review
      the system’s transaction logs for suspect data events—The
      Office of the Librarian will work with ITS to develop the
      technical and operational processes required to make automated
      log reviews of Raiser’s Edge functional. The target date
      for implementation is the fourth quarter of FY14.</td>
  </tr>
  <tr>
    <td>Multi-Sector Workforce</td>
    <td>2010-PA-105 March 2011</td>
    <td>Office of the General Counsel</td>
    <td>III.1</td>
    <td>Create a policy using Internal Revenue Service rules to
      properly classify workers as independent contractors or
      employees and require service units to submit documentation
      to the Office of Contracts and Grants Management
      (OCGM) for nonpersonal contract services—The Office of
      the General Counsel (OGC) addressed this issue by training
      Library managers and OCGM. Changes to LCR 2111
      and Form 52 will be addressed in conjunction with other
      contract guidance under the Governing Documents initiative.
      The target date for implementation is the fourth quarter
      of FY 14.</td>
  </tr>
  <tr>
    <td>Performance-based
      Budgeting III</td>
    <td>2013-PA-101
      March 2013</td>
    <td>Library-wide</td>
    <td>II.1</td>
    <td>Incorporate in the financial statements, where applicable,
      management discussion and analysis information about
      unmet performance targets and related goals, plans, and
      schedules for achieving them, assessments of practicality and
      feasibility of the goals, and disclosure of the action that management
      must take for success—Beginning with FY 13, explanations
      of why targets were unmet and actions to improve
      performance were submitted by service units. The Library’s
      FY 14 Financial Statements will describe validation and verification
      of performance information recorded in the management
      discussion and analysis (MD&A) section and unmet
      targets. Target date for implementation is the first quarter
      of FY 15.</td>
  </tr>
  <tr>
    <td>Performance-based Budgeting III</td>
    <td>2013-PA-101
      March 2013</td>
    <td>Library-wide</td>
    <td>II.2</td>
    <td>Add to MD&A disclosures an explanation of how management
      ensures the accuracy and reliability of the data used
      to measure progress towards each of its performance goals,
      including an identification of the means used to verify and
      validate measured values, the data sources, the required level
      of data accuracy, data limitations, and compensation implemented
      for the limitations to reach the required level of accuracy—
      Beginning with the Library’s FY 14 Financial Statements,
      the report will describe the process used to validate
      and certify accuracy of the performance information recorded
      in the MD&A section. Target date for implementation is
      the first quarter of FY 15.</td>
  </tr>
  <tr>
    <td>Performance-based Budgeting III</td>
    <td>2013-PA-101
      March 2013</td>
    <td>Library-wide</td>
    <td>II.3</td>
    <td>Develop a separate performance accountability report to fit
      the Library’s compliance with the spirit of the Government
      Performance and Results Act and the Modernization Act
      and fully disclose to stakeholders and the public the annual
      results of its performance management efforts. The Library
      should place this report on its public Web site—The Library
      is developing a Performance and Accountability Report. The
      draft incorporates most of the elements described in the OIG
      report. The Library will refine the draft in FY 14 and publish
      the financial statements on its Web site. The target date for
      implementation is the second quarter of FY 15.;</td>
  </tr>
  <tr>
    <th colspan="5">Office of Contracts and Grants Management (OCGM)</th>
  </tr>
  <tr>
    <td>Weaknesses in the Acquisition Function</td>
    <td>2011-SP-106
      March 2012</td>
    <td>Office of Contracts and Grants Management</td>
    <td>I.A.1</td>
    <td>Establish a support component to ensure effective and efficient
      performance of critical functions that support the
      OCGM. The position should be staffed with a senior, experienced
      General Schedule 1102, Grade 14—The OCGM
      receives policy support from the OGC and is recruiting for
      a GS-1102-14 to support contract operations. The expected
      target date for implementation is the third quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Weaknesses in the
      Acquisition Function</td>
    <td>2011-SP-106
      March 2012</td>
    <td>Office of Contracts
      and Grants
      Management</td>
    <td>I.A.2</td>
    <td>Rewrite the Contracts Operating Instructions (COI) manual
      deleting those policies that merely restate the Federal Acquisition
      Regulations (FAR) and draft specific guidance geared
      toward the Library’s acquisition activities. Organize the COI
      so that it is easily accessible—As part of the Library’s Governing
      Documents initiative the COI manual was updated
      and included in the Contracts Technical Guide. The guide
      is scheduled for publication in the fourth quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Weaknesses in the
      Acquisition Function</td>
    <td>2011-SP-106
      March 2012</td>
    <td>Office of Contracts
      and Grants
      Management</td>
    <td>I.F.2</td>
    <td>Rewrite COI 1003 to be a more comprehensive oversight
      policy and contract review process—The oversight and review
      process of COI 1003 was updated and included in the
      consolidated Contracts Technical Guide. The guide is scheduled
      for publication in the fourth quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Weaknesses in the
      Acquisition Function</td>
    <td>2011-SP-106
      March 2012</td>
    <td>Office of Contracts
      and Grants
      Management</td>
    <td>II.G.1</td>
    <td>Develop directives that clearly set forth the policy and constraints
      for using LCR 2111—LCR 2111 is being revised,
      updated, and incorporated into the Contracts Technical
      Guide, corresponding with other guidance related to service
      contracts. The guide is scheduled for publication in the
      fourth quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Weaknesses in the
      Acquisition Function</td>
    <td>2011-SP-106
      March 2012</td>
    <td>Office of Contracts
      and Grants
      Management</td>
    <td>III.B.1</td>
    <td>Restructure the Alert Handbook into a series of user-friendly,
      PowerPoint® customer service training packages directed at
      two levels, executive leadership and service units—OCGM is
      updating portions of the its Web site to include acquisition
      information, contracting officer’s representative (COR) certification
      and training, and templates for use by contracting
      staff and CORs. Content updates will continue through the
      Library’s Governing Documents initiative. The target date
      for completion is the fourth quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Weaknesses in the
      Acquisition Function</td>
    <td>2011-SP-106
      March 2012</td>
    <td>Office of Contracts
      and Grants
      Management</td>
    <td>III.B.4</td>
    <td>Develop a procurement process standard operating procedure
      so that customers understand that a good procurement
      package includes a statement of work, market research,
      independent government cost estimate, and the evaluation
      factors used in the evaluation process. The procedure should
      include a procurement package checklist—The Director of
      OCGM briefed Library supervisors and IT collaborative forums,
      and targeted senior staff meetings on contract-related
      issues. Training for contract staff and CORs on acquisition
      planning, contract formation and structure, and contract administration
      is also ongoing. The Director worked with OSI
      on the related business workflows for OCGM and will incorporate
      results into future training and development sessions.
      OCGM is updating their Web site to include acquisition information,
      COR certification and training, and templates for
      use by contracting staff and CORs. The target completion
      date for implementation is the fourth quarter of FY 14.</td>
  </tr>
</table>
Page 18 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
<table border="1">
  <caption>Table 4A: Significant Recommendations from Previous Semiannual
    Reports for Which Corrective Action Has Not Been Completed</caption>
  <tr>
    <th scope="col">Subject</th>
    <th scope="col">Report No.</th>
    <th scope="col">Issue Date:</th>
    <th scope="col">Office Rec.No.</th>
    <th scope="col">Summary and Status of Recommendation</th>
  </tr>
  <tr>
    <th colspan="5">Office of Contracts and Grants Management (Continued)</th>
  </tr>
  <tr>
    <td>Improper Payments II</td>
    <td>2011-SP-101
      May 2011</td>
    <td>Office of Contracts
      and Grants
      Management</td>
    <td>I.2</td>
    <td>OCGM and the Office of the Chief Financial Officer
      (OCFO) should update directives to officially reflect the
      current spending limit for micro purchases of $3,000—The
      Purchase Card Technical Guide is in draft, awaiting review. It
      reflects the current micro purchase threshold of $3,000 for
      supplies and $2,500 for services. The technical guide will be
      published as part of the Governing Documents initiative.
      The guide will also correspond with FAR 13 on simplified
      acquisition procedures for purchases at or below the micro
      purchase threshold. The target date for implementation is the
      fourth quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Office of Opportunity, Inclusiveness, and Compliance (OIC)
      Equal Employment
      Opportunity
      Complaints Office</td>
    <td>2001-PA-104
      February 2003</td>
    <td>Office of
      Opportunity,
      Inclusiveness, and
      Compliance</td>
    <td>I</td>
    <td>Evaluate and revise LCR 2010-3.1—Evaluation and revision
      of LCR 2010-3.1 is complete. The Office of Workforce Development,
      OGC and the Office of Opportunity, Inclusiveness,
      and Compliance (OIC) will work with the collective
      bargaining units on final revisions and language. Target date
      for implementation is the fourth quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Follow-Up Review of the
      Office of Opportunity,
      Inclusiveness, and Compliance</td>
    <td>2011-PA-106
      June 2011</td>
    <td>Office of
      Opportunity,
      Inclusiveness, and
      Compliance</td>
    <td>II.2.b</td>
    <td>OIC, in collaboration with the Library’s Human Capital
      Management Flexibilities Working Group, should complete
      the barrier identification and elimination process initiated
      with the Multi-Year Affirmative Employment Program
      Plan (MYAEPP) by assessing the success of the plan—Based
      upon workforce assessment data, the Human Capital Planning
      Board concluded that developing a Master Recruitment
      Plan for each vacancy requires collaboration between Human
      Resources Services (HRS), OIC, and service units. The plan
      will address the professional needs of service units and underrepresented
      groups. The MYAEPP Reassessment Working
      Group completed its assessment and made a specific recommendation
      to the Human Capital Planning Board to develop
      a comprehensive Strategic Diversity Plan networked to all
      diversity-related programs, activities, services and collections
      at the Library. The target implementation date is the fourth
      quarter of FY 14.</td>
  </tr>
  <tr>
    <th colspan="5">Office of Support Operations (OSO)</th>
  </tr>
  <tr>
    <td>Telework Program</td>
    <td>2010-PA-102
      June 2011</td>
    <td>Office of Support
      Operations</td>
    <td>I.1</td>
    <td>Determine whether centralizing teleworking policy authority
      in a Telework Coordinator would add value to the program—
      The Telework Steering Committee (TSC) assesses
      the effectiveness of the Library’s telework strategy, reviews
      emerging best practices, evaluates infrastructure equipment,
      recommends processes to address changes in technology, and
      facilitates telework objectives. The revised telework regulation
      was reviewed by the Library of Congress Regulation
      Working Group and comments were forwarded to HRS for
      final revision. The target date for implementation is the third
      quarter of FY 14.</td>
  </tr>
</table>
Page 19 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
<table border="1">
  <caption>Table 4A: Significant Recommendations from Previous Semiannual
    Reports for Which Corrective Action Has Not Been Completed</caption>
  <tr>
    <th scope="col">Subject</th>
    <th scope="col">Report No.</th>
    <th scope="col">Issue Date:</th>
    <th scope="col">Office Rec.No.</th>
    <th scope="col">Summary and Status of Recommendation</th>
  </tr>
  <tr>
    <th colspan="5">Office of Support Operations (Continued)</th>
  </tr>
  <tr>
    <td>Telework Program</td>
    <td>2010-PA-102
      June 2011</td>
    <td>Office of Support
      Operations</td>
    <td>I.3</td>
    <td>Collect data on and evaluate the costs and benefits of teleworking
      to determine whether it provides a cost-effective
      means to perform specific work requirements—The Library
      is reviewing best practices and is assessing infrastructure
      equipment. In addition to collecting this telework data, the
      TSC will conduct a cost-benefit analysis. The target date for
      implementation is the third quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Telework Program</td>
    <td>2010-PA-102
      June 2011</td>
    <td>Office of Support
      Operations</td>
    <td>I.4</td>
    <td>Develop a telework health and safety checklist and incorporate
      it into its telework agreement forms—Under the revised
      telework regulation, the TSC will develop a health and safety
      checklist and each teleworking employee will complete and
      submit the form. The target date for implementation is the
      third quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Telework Program</td>
    <td>2010-PA-102
      June 2011</td>
    <td>Office of Support
      Operations</td>
    <td>I.5</td>
    <td>Develop an interactive telework training program and require
      teleworkers and their managers to successfully complete it
      before beginning telework—The program will be released
      with the revised telework regulation in the third quarter of
      FY 14.</td>
  </tr>
  <tr>
    <td>Telework Program</td>
    <td>2010-PA-102
      June 2011</td>
    <td>Office of Support
      Operations</td>
    <td>I.6</td>
    <td>Revise LCR 2014-8 to address the permissibility of accessing
      sensitive, unclassified, and “For Official Use Only” data at
      offsite locations—The revised LCR was reviewed and comments
      sent to HRS for final revision. Target date for implementation
      is the third quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Telework Program</td>
    <td>2010-PA-102
      June 2011</td>
    <td>Office of Support
      Operations</td>
    <td>II.1</td>
    <td> Review positions to determine whether they are prone to
      telework and do not create an additional burden on other
      areas—The telework LCR was revised to require that the nature
      of the work be suitable for telework and not adversely
      affect the workload or effectiveness of the teleworker, the
      supervisor, or other employees. The LCR was forwarded to
      the HRS Director. The target date for implementation is the
      third quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Telework Program </td>
    <td>2010-PA-102
      June 2011</td>
    <td>Office of Support
      Operations</td>
    <td>II.2</td>
    <td>Institute policies requiring the availability of teleworkers by
      email, telephone, and in person when needed, including the
      use of remote call coverage for positions involving frequent
      telephone use—The revised telework LCR requires teleworkers
      to be available for contact by telephone and email during
      duty hours while teleworking. The LCR was forwarded to
      HRS for final revision with implementation targeted for the
      third quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Telework Program</td>
    <td>2010-PA-102
      June 2011</td>
    <td>Office of Support
      Operations</td>
    <td>IV.1.a</td>
    <td>Require employees who are expected to telework during a
      Continuity of Operations (COOP) event to have adequate
      training, infrastructure support, and practice—The Library’s
      Remote Environment is a new key infrastructure element
      that allows employees to telework during a COOP event.
      Staff training and education is underway and a hands-on drill
      that will implement this recommendation fully is anticipated
      for the fourth quarter of FY 14.</td>
  </tr>
</table>
Page 20 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
<table border="1">
  <caption>Table 4A: Significant Recommendations from Previous Semiannual
    Reports for Which Corrective Action Has Not Been Completed</caption>
  <tr>
    <th scope="col">Subject</th>
    <th scope="col">Report No.</th>
    <th scope="col">Issue Date:</th>
    <th scope="col">Office Rec.No.</th>
    <th scope="col">Summary and Status of Recommendation</th>
  </tr>
  <tr>
    <th colspan="5">Office of Support Operations (Continued)</th>
  </tr>
  <tr>
    <td>Telework Program</td>
    <td>2010-PA-102
      June 2011</td>
    <td>Office of Support
      Operations</td>
    <td>IV.1.b;</td>
    <td>Implement a telework agreement that provides for a COOP
      event—The Library’s revised telework agreement allows for
      episodic telework arrangements, including a COOP event.
      The Human Capital Planning Board will ensure that agreements
      are in place for COOP teleworkers. Target date for
      implementation is the third quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Telework Program</td>
    <td>2010-PA-102
      June 2011</td>
    <td>Office of Support
      Operations</td>
    <td>IV.2</td>
    <td>Incorporate teleworking scenarios in COOP exercises—The
      Library’s new Remote Environment, a key infrastructure support
      element that gives employees the ability to telework during
      a COOP event, was designed to accommodate all COOP
      scenarios. COOP exercises were incorporated into training
      objectives. Exercises and full implementation are planned for
      the fourth quarter of FY 14.</td>
  </tr>
  <tr>
    <th colspan="5">Library Services (LS)</th>
  </tr>
  <tr>
    <td>Top Treasures Security
      and Preservation
      Controls</td>
    <td>2008-PA-103
      January 2009</td>
    <td>Library Services</td>
    <td>I.a</td>
    <td>Establish criteria for specifically defining top treasure collection
      items and a clear process to nominate or transfer collection
      items to the category—The draft LCR includes top
      treasure nomination forms and an emergency release form.
      The draft is under review with a target completion date in the
      fourth quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Surplus Books Program</td>
    <td>2010-PA-106
      September 2011</td>
    <td>Library Services</td>
    <td>I.c.1</td>
    <td>Update LCR 1816 to include designing a serialized document
      that is counterfeit resistant, reassigning the responsible
      office to ensure oversight, documenting accountability, and
      implementing procedures to more appropriately account for
      and retire used passes. Revise the LCR to implement a pass
      designed for specific Surplus Books Program (SBP) use—In
      July 2013, the Office of Security and Emergency Preparedness
      reported that it had finished meetings with stakeholders for
      implementing a pass. The next steps are to incorporate revisions,
      and schedule another meeting of the group, including
      ITS. Updating the LCR will follow, with a target completion
      date in the fourth quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Surplus Books Program</td>
    <td>2010-PA-106
      September 2011</td>
    <td>Library Services</td>
    <td>II.a.1</td>
    <td>SBP management should implement the use of a software application
      to collect and analyze program operating data—As a
      secondary project, the ITS staff member assigned is continually
      pulled off the project to address other assignments. This has impacted
      the completion date and implementation is now projected
      for the third quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Surplus Books Program</td>
    <td>2010-PA-106
      September 2011</td>
    <td>Library Services</td>
    <td>II.c.1</td>
    <td>LS management should collect the required data to conduct an
      analysis to determine whether the Library derives tangible benefits
      from processing other agencies’ surplus material transfers—
      SBP has not accepted transfers from other agencies since October
      2011 and expects to keep that policy in effect. The target
      date for a final decision is the fourth quarter of FY 14.
      Unimplemented Recommendations</td>
  </tr>
</table>
Page 21  MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
Unimplemented  Recommendations<sup>2</sup>
<table border="1">
  <caption>Table 4A: Significant Recommendations from Previous Semiannual
    Reports for Which Corrective Action Has Not Been Completed</caption>
  <tr>
    <th scope="col">Subject</th>
    <th scope="col">Report No.</th>
    <th scope="col">Issue Date:</th>
    <th scope="col">Office Rec.No.</th>
    <th scope="col">Summary and Status of Recommendation</th>
  </tr>
  <tr>
    <th colspan="5">Office of Strategic Initiatives (OSI)</th>
  </tr>
  <tr>
    <td>Information
      Technology Strategic
      Planning Follow-up</td>
    <td>2011-IT-103
      December 2011</td>
    <td>Information
      Technology
      Services</td>
    <td>I.2.C</td>
    <td>Account for all IT costs, including computer security as part of
      the IT budgetary process—The Office of the Librarian continues
      its information resources management (IRM) plan implementation
      and IT spending and investment reviews. The results
      of these reviews and current Library-wide planning will determine
      whether any organizational or resource allocation changes
      are warranted. The target implementation date is the first quarter
      of FY15.</td>
  </tr>
  <tr>
    <td>Information
      Technology Strategic
      Planning Follow-up</td>
    <td>2011-IT-103
      December 2011</td>
    <td>Information
      Technology
      Services</td>
    <td>I.3.A</td>
    <td>Separate the IT support functions from OSI and establish the
      Office of the Chief Information Officer (CIO) from the ITS Directorate
      and other IT support functions of OSI. The CIO will
      report directly to the Librarian or Deputy Librarian with duties,
      responsibilities, and authority consistent with best practices—
      The Office of the Librarian continues its IRM plan implementation
      and IT spending and investment reviews. The results of
      these reviews and current Library-wide planning will determine
      whether any organizational or resource allocation changes are
      warranted. The target implementation date is the first quarter
      of FY 15.</td>
  </tr>
  <tr>
    <td>Information
      Technology Strategic
      Planning Follow-up</td>
    <td>2011-IT-103
      December 2011</td>
    <td>Information
      Technology
      Services</td>
    <td>I.5.A</td>
    <td>Implement service level agreements to manage customer expectations—
      The current strategic planning process overseen
      by the Strategic Planning Office (SPO) has a provision for
      ITS to provide support to service units according to their
      documented requirements. This recommendation is pending
      further guidance from the strategic planning process with a
      target completion date in the first quarter of FY 15.</td>
  </tr>
  <tr>
    <td>Information
      Technology Strategic
      Planning Follow-up</td>
    <td>2011-IT-103
      December 2011</td>
    <td>Information
      Technology
      Services</td>
    <td>I.5.D</td>
    <td>Rather than offering the new help desk system as an interface,
      ITS should require all technology offices throughout the Library
      to use a standard help desk system to take advantage
      of economies of scale—ITS continues to work closely with
      service units to leverage the centralized, shared solution for
      help desk management. ITS plans to integrate the remaining
      service units as resources are made available with a target date
      in the first quarter of FY 15.</td>
  </tr>
  <tr>
    <td>Information
      Technology Strategic
      Planning Follow-up</td>
    <td>2011-IT-103
      December 2011</td>
    <td>Information
      Technology
      Services</td>
    <td>I.5.F</td>
    <td>Develop a set of metrics for ongoing use to measure performance.
      These metrics should change and evolve over time
      as one area shows improvement; new metrics should be developed
      for other areas—A comprehensive set of metrics was
      established as part of the new IT help desk contract. Over
      the next several months ITS will gather baseline data in order
      to evaluate the effectiveness of these metrics and determine
      what refinements are necessary. The target date for completion
      is the fourth quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Information
      Technology Strategic
      Planning Follow-up</td>
    <td>2011-IT-103
      December 2011</td>
    <td>Information
      Technology
      Services</td>
    <td>I.5.G</td>
    <td>Conduct regular customer surveys and open informational
      meetings—The Enhanced Help Desk project includes improvements
      to survey capabilities tied to closed incident and
      service request tickets. The target completion date is the third
      quarter of FY 14.</td>
  </tr>
</table>
Page 22 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
<table border="1">
  <caption>Table 4A: Significant Recommendations from Previous Semiannual
    Reports for Which Corrective Action Has Not Been Completed</caption>
  <tr>
    <th scope="col">Subject</th>
    <th scope="col">Report No.</th>
    <th scope="col">Issue Date:</th>
    <th scope="col">Office Rec.No.</th>
    <th scope="col">Summary and Status of Recommendation</th>
  </tr>
  <tr>
    <th colspan="5">Office of Strategic Initiatives (Continued)</th>
  </tr>
  <tr>
    <td>Information
      Technology Workstation
      Management</td>
    <td>2012-PA-101
      September 2012</td>
    <td>Information
      Technology
      Services</td>
    <td>I.1</td>
    <td>ITS should improve its communications and transparency
      with service units regarding the IT equipment which is
      available in inventory—The IT Asset Management & Configuration
      Management Database (CMDB) project is being
      chartered and will span 18-24 months. The CMDB will use
      a phased approach to aggregate IT assets and configurable
      items. In addition, ITS takes a monthly inventory and will
      publish the information on the ITS Web site. Target date
      for implementation of the first phase is the fourth quarter
      of FY14.</td>
  </tr>
  <tr>
    <td>Library-Wide
      Computing Efficiencies</td>
    <td>2013-IT-101
      March 2013</td>
    <td>Information
      Technology
      Services</td>
    <td>I.1</td>
    <td>Collect data on efficiency levels of servers, maintain comprehensive
      server inventory data in a central repository,
      and continuously track data on the power used by its data
      center—The resources required to implement server efficiency
      tracking are supporting priority projects, including
      the implementation of environmental controls monitoring
      for Library collections and critical technology infrastructure
      components. The target implementation date is revised to
      the fourth quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Library-Wide
      Computing Efficiencies</td>
    <td>2013-IT-101
      March 2013</td>
    <td>Information
      Technology
      Services</td>
    <td>I.2</td>
    <td>Report to the Deputy Librarian the progress made in adopting
      the specific recommendations of the outside consultant’s
      report on server virtualization, and the steps and timeframes
      it will take to implement such recommendations and the Library’s
      return on investment/cost savings to be achieved—
      ITS is currently identifying viable recommendations from the
      consultant’s report in the context of other strategic technology
      initiatives, ongoing operational activities, and resource
      constraints at the Library. ITS will construct a plan for implementing
      viable recommendations and provide reasons for
      those it will not implement. ITS anticipates completing this
      plan by the third quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Library-Wide
      Computing Efficiencies</td>
    <td>2013-IT-101
      March 2013</td>
    <td>Information
      Technology
      Services</td>
    <td>II.1</td>
    <td>Develop an enterprise-wide plan to guide management
      decision-making on possible cloud solutions—ITS has developed
      a plan to guide decision-making on potential cloud
      solutions. This plan will be vetted with Library management
      and stakeholders over the next several months with a target
      date for completion in the fourth quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Library-Wide
      Computing Efficiencies</td>
    <td>2013-IT-101
      March 2013</td>
    <td>Information
      Technology
      Services</td>
    <td>II.2</td>
    <td>Instruct ITS to take the lead in initiating evaluations of viable
      cloud computing solutions for the Library—ITS has developed
      a plan to guide decision-making on potential cloud
      solutions. This plan will be vetted with Library management
      and stakeholders over the next several months with a target
      date for completion in the fourth quarter of FY 14.</td>
  </tr>
  <tr>
    <td>Enterprise wide
      Web Search Strategy</td>
    <td>2013-IT102
      September 2013</td>
    <td>Office of the Librarian,
      OSI, LS</td>
    <td>II</td>
    <td>LS should collaborate with the Web Governance Board and
      ITS to evaluate whether there is usable data in the XML database
      and, if so, develop a plan to migrate the data stored to
      the new Web search platform—ITS is ready to work collaboratively
      to evaluate the XML database and develop a plan to
      migrate the usable data. The target date for implementation
      is the second quarter of FY 15.</td>
  </tr>
</table>
Page 23 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
Page 24 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS 
Right: Fukagawa Hatiman yamabiraki, open garden at fukagawa Hachiman
  Shrine by Hiroshige, c. 1857.
Repository: Prints and Photographs Division
Page 25 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
Implemented and Closed Recommendations
<table border="1">
  <caption>Table 4B: Significant Recommendations from Previous Semiannual Reports
    Which Were Implemented or Closed During This Period</caption>
  <tr>
    <th scope="col">Subject</th>
    <th scope="col">Report No.</th>
    <th scope="col">Issue Date:</th>
    <th scope="col">Office Rec.No.</th>
    <th scope="col">Summary and Status of Recommendation</th>
  </tr>
  <tr>
    <th colspan="5">Office of the Librarian</th>
  </tr>
  <tr>
    <td>Performance-based
      Budgeting III</td>
    <td>2013-PA-101
      March 2013</td>
    <td>Library-wide</td>
    <td>I.1</td>
    <td>Revise the performance management directives to address
      requirements for service unit verification and validation
      of performance data. Data requirements should
      compliment the specific, measurable, achievable, relevant,
      time-bound (SMART) criteria applied to performance
      measurements. Verification requirements should
      address data completeness, accuracy, and consistency as
      well as the related quality control practices for ensuring
      data will be of sufficient quality to document performance
      and support decision-making. Validation procedures
      should assure that the data are appropriate for the
      performance measurement—Draft manuals were created
      as part of the Governing Documents initiative. OCFO
      held meetings, workshops, and briefings on SMART
      criteria and verification and validation. OCFO also updated
      the performance directives.</td>
  </tr>
  <tr>
    <td>Performance-based
      Budgeting III</td>
    <td>2013-PA-101
      March 2013</td>
    <td>Library-wide</td>
    <td>I.2</td>
    <td>SPO should take a more effective role in evaluating the
      adequacy of service unit data used to measure progress
      towards performance targets. Implement a process similar
      to National Archives and Records Administration’s
      metric specification document to define and prequalify
      performance data and related performance measures
      during the formulation stage of the performance cycle.
      That document should require service units to identify
      and define the performance data used to measure progress
      towards performance targets. Service units should
      also document how they intend to both verify the performance
      data and validate how the data relates to the
      performance measurement—SPO developed a template
      describing how to create a performance target and conducted
      several workshops. The forthcoming enhanced
      eLCplans system requires designated service unit managers
      and executives to review and approve performance
      targets.</td>
  </tr>
  <tr>
    <td>Performance-based
      Budgeting III</td>
    <td>2013-PA-101
      March 2013</td>
    <td>Library-wide</td>
    <td>I.3</td>
    <td>SPO should review the metric specification document
      for completeness and assure that service unit descriptions
      of its verification and validation activities meet performance
      methodology requirements—SPO implemented
      a review process for draft and final service unit information
      to ensure that descriptions meet performance methodology.</td>
  </tr>
  <tr>
    <th colspan="5">Library Services (LS)</th>
  </tr>
  <tr>
    <td>Performance-based
      Budgeting</td>
    <td>2010-PA-107
      January 2011</td>
    <td>Library Services</td>
    <td>II.2</td>
    <td>Design and implement an internal control system that
      will ensure that valid and verifiable data will be collected
      and used to measure program performance—Library Services
      implemented the new verification and validation system.
      Officials responsible for performance targets received
      training from SPO and used the system to establish FY 14
      performance targets, milestones, and standards.;</td>
  </tr>
</table>
Page 26 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
<table border="1">
  <caption>Table 4B: Significant Recommendations from Previous Semiannual Reports
    Which Were Implemented or Closed During This Period</caption>
  <tr>
    <th scope="col">Subject</th>
    <th scope="col">Report No.</th>
    <th scope="col">Issue Date:</th>
    <th scope="col">Office Rec.No.</th>
    <th scope="col">Summary and Status of Recommendation</th>
  </tr>
  <tr>
    <th colspan="5">Human Resources Services (HRS)</th>
  </tr>
  <tr>
    <td>Multi-Sector Workforce</td>
    <td>2010-PA-105
      March 2011</td>
    <td>Human Resources
      Services</td>
    <td>I</td>
    <td>Develop and implement a structured procedure that
      provides a uniform method for making in/outsource
      personnel determinations. This procedure should provide
      the means to identify which activities are inherently
      governmental and which service provider represents the
      best value to the Library—The National Finance Center
      Person model is fully implemented. The Board was provided
      a process to apply existing procedures, workflows,
      and approvals to accomplish the objectives within existing
      policy framework.</td>
  </tr>
  <tr>
    <th colspan="5">Office of Strategic Initiatives (OSI)</th>
  </tr>
  <tr>
    <td>Information
      Technology Strategic
      Planning Follow-up;</td>
    <td>2011-IT-103
      December 2011</td>
    <td>Information
      Technology
      Services</td>
    <td>II.1</td>
    <td>Coordinate with service and support units to identify
      and prioritize the legacy systems/applications that require
      certification and accreditation evaluations, and
      determine how the required evaluations should be
      funded—Technical changes to LCR 1620, Information
      Technology Security Policy of the Library of Congress were
      completed in the fourth quarter of FY 13.</td>
  </tr>
  <tr>
    <td>Enterprise wide
      Web Search Strategy</td>
    <td>2013-IT102
      September 2013</td>
    <td>Office of the Librarian,
      OSI, LS</td>
    <td>III</td>
    <td>Determine whether there are any projects that are in development
      but did not otherwise meet the ITSC’s criteria
      of being a new project, and include them under the
      ITSC’s purview—The ITSC chair requested that ITSC
      members consider active IT projects as investments
      tracked by the ITSC, with the goal of producing a report
      of the review and results. One investment was added it
      to the ITIM Control Phase.</td>
  </tr>
  
</table>
<table border="1">
<caption>Table 5: Audits with Recommendations for Better Use of Funds</caption>
  <tr>
    <td>&nbsp;</td>
    <th scope="col">Number of Audit
      Reports</th>
    <th scope="col">Total Funds Put
      to Better Use</th>
  </tr>
  <tr>
    <td>No management decision was made by the start of the period:</td>
    <td><span aria-hidden="true">-</span></td>
    <td><span aria-hidden="true">-</span></td>
  </tr>
  <tr>
    <td>Issued during the period:</td>
    <td><span aria-hidden="true">-</span></td>
    <td><span aria-hidden="true">-</span></td>
  </tr>
  <tr>
    <td>In need of management decision during the period:</td>
    <td><span aria-hidden="true">-</span></td>
    <td><span aria-hidden="true">-</span></td>
  </tr>
  <tr>
    <td>Management decision made during the reporting period:
      
        •Value of recommendations agreed to by management
        •Value of recommendations not agreed to by management
      </td>
    <td><span aria-hidden="true">-</span></td>
    <td><span aria-hidden="true">-</span></td>
  </tr>
  <tr>
    <td>No management decision made by the end of the reporting period:
      
        •Less than 6 months old:
        •More than 6 months old:
      </td>
    <td><span aria-hidden="true">-</span></td>
    <td><span aria-hidden="true">-</span></td>
  </tr>
</table>
<table border="1">
<caption>Table 6: Audits with Questioned Costs</caption>
  <tr>
    <td>&nbsp;</td>
    <th scope="col">Number of Audit
      Reports</th>
    <th scope="col">Total Questioned
      Costs</th>
  </tr>
  <tr>
    <td>No management decision was made by the start of the period:</td>
    <td><span aria-hidden="true">-</span></td>
    <td><span aria-hidden="true">-</span></td>
  </tr>
  <tr>
    <td>Issued during the period:</td>
    <td><span aria-hidden="true">-</span></td>
    <td><span aria-hidden="true">-</span></td>
  </tr>
  <tr>
    <td>In need of management decision during the period:</td>
    <td><span aria-hidden="true">-</span></td>
    <td><span aria-hidden="true">-</span></td>
  </tr>
  <tr>
    <td>Management decision made during the reporting period:
      
        •Value of recommendations agreed to by management
        •Value of recommendations not agreed to by management
      </td>
    <td><span aria-hidden="true">-</span></td>
    <td><span aria-hidden="true">-</span></td>
  </tr>
  <tr>
    <td>No management decision made by the end of the reporting period:
      
        •Less than 6 months old:
        •More than 6 months old:
      </td>
    <td><span aria-hidden="true">-</span></td>
    <td><span aria-hidden="true">-</span></td>
  </tr>
</table>
Page 27 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
Instances Where Information or
  Assistance Requests Were Refused
No information or assistance requests were refused during this period.
Status of Recommendations
  Without Management Decisions
During the reporting period, there were no recommendations more than six months old without management decisions.
Significant Revised Management Decisions
The Library’s I-900 initiative offered the potential to address in part the OIG’s concerns about underutilized reading rooms and other space. I-900 involved consolidating collection materials into a Center of Knowledge within the Main Reading Room and some adjacent space. However, the Library made a significant management decision recently to discontinue I-900 and instead focus on its Futures Program.The Futures Program will provide the basis for defining and implementing, in 2016, a new strategic plan for the Library. OIG will assess the impact of the Library’s decision on space utilization efforts and other long-term challenges as more information about the Futures Program becomes available.
Significant Management Decisions
  with Which OIG Disagrees
During this reporting period, there were no signification management decisions with which we disagreed.
Follow-up on Prior Period Recommendations
In this semiannual period, we followed up on all open recommendations from our prior semiannual period.
  Management’s comments on the status of individual recommendations appear in table 4A. Recommendations
  that management asserts it implemented during the period appear in table 4B. In order to confirm that recommendations were implemented as reported, we perform periodic follow-up on selected projects to verify implementation; however, all assertions contained in table 4B are the representations of management.
Page 28 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
OIG Organizational Chart

  •Inspector General
    Vacant
  •Kurt W. Hyde CPA
    (Acting)
  •Administrative Officer
    Sheetal Gupta
  •Auditor
    Elizabeth Valentin
    CPA, CISA
  •Lead Auditor
    Walter E. Obando
    CIA, CISA
  •Management Analyst
    Jennifer R. Bosch
  •Senior Lead Auditor
    John R. Mech
    CPA
  •Special Agent
    Pamela D. Hawe (Part-time)
    SCERS
  •Special Agent
    Hugh D. Coughlin
  •Special Agent
    Donald Lyles (Part-time, Temporary)
    SCERS
  •Management Analyst
    Michael R. Peters
    SCERS
  •Management Analyst
    Sarah Sullivan
  •Counsel to the IG
    Deborah Lehrich
    (Part-Time)
  •Assistant Inspector
    General for Audits
    Kurt W. Hyde
    CPA
  •Assistant Inspector
    General for Investigations
    Thomas E. Williams
    CCE, ACE, SCERS
  •Senior Lead
    Management Analyst
    Eric Mader
  •Auditor
    Christine C. Cochrane
    CPA, CrFA

Page 29 MARCH 2014 SEMIANNUAL REPORT TO THE CONGRESS
Below: Syayoi asukayama hanami, tea party beneath
  cherry blossoms by Shigemasa Kitao. c. 1772-76
Repository: Prints and Photographs Division
Inspector General Hotline
  Help Promote Integrity, Economy, and Efficiency
Report Suspected Fraud, Waste, Abuse, or Mismanagement
Complaints May be Made Anonymously
  Inspector General<br />
  Library of Congress<br />
  101 Independence Avenue, S.E.<br />
  LM-630<br />
  Washington, DC 20540 -1060
Main Telephone Number:(202) 707-6314<br />
  Fax Number: (202) 707-6032<br />
  Hotline Telephone Number: (202) 707-6306<br />
  Hotline Email:oighotline@loc.gov<br />
  P.O. Box:15051 S.E. Station<br />
  Washington, DC 20003-9997
Any information you provide will be held in confidence.
  However, providing your name and a means of communicating
  with you may enhance our ability to investigate.
Office of the Inspector General<br />
  101 Independence Avenue SE<br />
  Washington, DC 20540-1060<br />
  tel 202.707.6314 hotline 202.707.6306<br />
  <a href="//www.loc.gov/about/oig/">www.loc.gov/about/oig/</a>
	Criminal/Civil	Administrative	Total
From Prior Reporting Period	25	9	34
Opened	13	8	21
Closed	12	8	20
End of Period	26	9	35
	Count
Allegations received	23
Referred to management	9
Opened as investigations	5
Opened as audit	0
Referred by audit division	1
Closed with no action	9
Reviewed	Comments by the Office of the Inspector General
LCR 811 Required Information about Readers	We commented that the LCR did not address the revocation of a reader card or any revocation related issues.
LCR 1815-1 Reporting Missing or Stolen Library Property	We commented that the LCR should reference appointing an authority in Library Services to ensure follow-up action on missing or stolen property. We also made several recommendations for removing active assets and suggested establishing a category for property that is not capitalized. Finally, we stated that the responsibility and authority of the OIG should be clarified in appropriate sections.
LCR 2017-2 Performance Appraisal Plan for Non-Bargaining Unit, Non-Managerial/Non-Supervisory Staff, GS-15 and Below	We recommended adding language highlighting workforce performance management as an essential component of planning and budgeting and stated that performance plans should align with annual program goals and the Library’s strategic plan. We made suggestions regarding performance appraisals, general clarification of roles, terminology, and definitions throughout the LCR and recommended defining the mechanisms that ensure adherence to the regulation.
LCR 2017-2.2 Performance Appraisal Plan for Managers and Supervisors, GS-15 and Below	We recommended adding language highlighting workforce performance management as an essential component of planning and budgeting and stated that performance plans should align with annual program goals and the Library’s strategic plan. We made suggestions regarding performance appraisals, general clarification of roles, terminology, and definitions throughout the LCR and recommended defining the mechanisms that ensure adherence to the regulation.
Subject	Report No.	Issue Date:	Office Rec.No.	Summary and Status of Recommendation
Office of the Librarian
Raiser’s Edge Software Program	2006-IT-302 December 2007	Development Office	III	System managers for Raiser’s Edge should regularly review the system’s transaction logs for suspect data events—The Office of the Librarian will work with ITS to develop the technical and operational processes required to make automated log reviews of Raiser’s Edge functional. The target date for implementation is the fourth quarter of FY14.
Multi-Sector Workforce	2010-PA-105 March 2011	Office of the General Counsel	III.1	Create a policy using Internal Revenue Service rules to properly classify workers as independent contractors or employees and require service units to submit documentation to the Office of Contracts and Grants Management (OCGM) for nonpersonal contract services—The Office of the General Counsel (OGC) addressed this issue by training Library managers and OCGM. Changes to LCR 2111 and Form 52 will be addressed in conjunction with other contract guidance under the Governing Documents initiative. The target date for implementation is the fourth quarter of FY 14.
Performance-based Budgeting III	2013-PA-101 March 2013	Library-wide	II.1	Incorporate in the financial statements, where applicable, management discussion and analysis information about unmet performance targets and related goals, plans, and schedules for achieving them, assessments of practicality and feasibility of the goals, and disclosure of the action that management must take for success—Beginning with FY 13, explanations of why targets were unmet and actions to improve performance were submitted by service units. The Library’s FY 14 Financial Statements will describe validation and verification of performance information recorded in the management discussion and analysis (MD&A) section and unmet targets. Target date for implementation is the first quarter of FY 15.
Performance-based Budgeting III	2013-PA-101 March 2013	Library-wide	II.2	Add to MD&A disclosures an explanation of how management ensures the accuracy and reliability of the data used to measure progress towards each of its performance goals, including an identification of the means used to verify and validate measured values, the data sources, the required level of data accuracy, data limitations, and compensation implemented for the limitations to reach the required level of accuracy— Beginning with the Library’s FY 14 Financial Statements, the report will describe the process used to validate and certify accuracy of the performance information recorded in the MD&A section. Target date for implementation is the first quarter of FY 15.
Performance-based Budgeting III	2013-PA-101 March 2013	Library-wide	II.3	Develop a separate performance accountability report to fit the Library’s compliance with the spirit of the Government Performance and Results Act and the Modernization Act and fully disclose to stakeholders and the public the annual results of its performance management efforts. The Library should place this report on its public Web site—The Library is developing a Performance and Accountability Report. The draft incorporates most of the elements described in the OIG report. The Library will refine the draft in FY 14 and publish the financial statements on its Web site. The target date for implementation is the second quarter of FY 15.;
Office of Contracts and Grants Management (OCGM)
Weaknesses in the Acquisition Function	2011-SP-106 March 2012	Office of Contracts and Grants Management	I.A.1	Establish a support component to ensure effective and efficient performance of critical functions that support the OCGM. The position should be staffed with a senior, experienced General Schedule 1102, Grade 14—The OCGM receives policy support from the OGC and is recruiting for a GS-1102-14 to support contract operations. The expected target date for implementation is the third quarter of FY 14.
Weaknesses in the Acquisition Function	2011-SP-106 March 2012	Office of Contracts and Grants Management	I.A.2	Rewrite the Contracts Operating Instructions (COI) manual deleting those policies that merely restate the Federal Acquisition Regulations (FAR) and draft specific guidance geared toward the Library’s acquisition activities. Organize the COI so that it is easily accessible—As part of the Library’s Governing Documents initiative the COI manual was updated and included in the Contracts Technical Guide. The guide is scheduled for publication in the fourth quarter of FY 14.
Weaknesses in the Acquisition Function	2011-SP-106 March 2012	Office of Contracts and Grants Management	I.F.2	Rewrite COI 1003 to be a more comprehensive oversight policy and contract review process—The oversight and review process of COI 1003 was updated and included in the consolidated Contracts Technical Guide. The guide is scheduled for publication in the fourth quarter of FY 14.
Weaknesses in the Acquisition Function	2011-SP-106 March 2012	Office of Contracts and Grants Management	II.G.1	Develop directives that clearly set forth the policy and constraints for using LCR 2111—LCR 2111 is being revised, updated, and incorporated into the Contracts Technical Guide, corresponding with other guidance related to service contracts. The guide is scheduled for publication in the fourth quarter of FY 14.
Weaknesses in the Acquisition Function	2011-SP-106 March 2012	Office of Contracts and Grants Management	III.B.1	Restructure the Alert Handbook into a series of user-friendly, PowerPoint® customer service training packages directed at two levels, executive leadership and service units—OCGM is updating portions of the its Web site to include acquisition information, contracting officer’s representative (COR) certification and training, and templates for use by contracting staff and CORs. Content updates will continue through the Library’s Governing Documents initiative. The target date for completion is the fourth quarter of FY 14.
Weaknesses in the Acquisition Function	2011-SP-106 March 2012	Office of Contracts and Grants Management	III.B.4	Develop a procurement process standard operating procedure so that customers understand that a good procurement package includes a statement of work, market research, independent government cost estimate, and the evaluation factors used in the evaluation process. The procedure should include a procurement package checklist—The Director of OCGM briefed Library supervisors and IT collaborative forums, and targeted senior staff meetings on contract-related issues. Training for contract staff and CORs on acquisition planning, contract formation and structure, and contract administration is also ongoing. The Director worked with OSI on the related business workflows for OCGM and will incorporate results into future training and development sessions. OCGM is updating their Web site to include acquisition information, COR certification and training, and templates for use by contracting staff and CORs. The target completion date for implementation is the fourth quarter of FY 14.
Subject	Report No.	Issue Date:	Office Rec.No.	Summary and Status of Recommendation
Office of Contracts and Grants Management (Continued)
Improper Payments II	2011-SP-101 May 2011	Office of Contracts and Grants Management	I.2	OCGM and the Office of the Chief Financial Officer (OCFO) should update directives to officially reflect the current spending limit for micro purchases of $3,000—The Purchase Card Technical Guide is in draft, awaiting review. It reflects the current micro purchase threshold of $3,000 for supplies and $2,500 for services. The technical guide will be published as part of the Governing Documents initiative. The guide will also correspond with FAR 13 on simplified acquisition procedures for purchases at or below the micro purchase threshold. The target date for implementation is the fourth quarter of FY 14.
Office of Opportunity, Inclusiveness, and Compliance (OIC) Equal Employment Opportunity Complaints Office	2001-PA-104 February 2003	Office of Opportunity, Inclusiveness, and Compliance	I	Evaluate and revise LCR 2010-3.1—Evaluation and revision of LCR 2010-3.1 is complete. The Office of Workforce Development, OGC and the Office of Opportunity, Inclusiveness, and Compliance (OIC) will work with the collective bargaining units on final revisions and language. Target date for implementation is the fourth quarter of FY 14.
Follow-Up Review of the Office of Opportunity, Inclusiveness, and Compliance	2011-PA-106 June 2011	Office of Opportunity, Inclusiveness, and Compliance	II.2.b	OIC, in collaboration with the Library’s Human Capital Management Flexibilities Working Group, should complete the barrier identification and elimination process initiated with the Multi-Year Affirmative Employment Program Plan (MYAEPP) by assessing the success of the plan—Based upon workforce assessment data, the Human Capital Planning Board concluded that developing a Master Recruitment Plan for each vacancy requires collaboration between Human Resources Services (HRS), OIC, and service units. The plan will address the professional needs of service units and underrepresented groups. The MYAEPP Reassessment Working Group completed its assessment and made a specific recommendation to the Human Capital Planning Board to develop a comprehensive Strategic Diversity Plan networked to all diversity-related programs, activities, services and collections at the Library. The target implementation date is the fourth quarter of FY 14.
Office of Support Operations (OSO)
Telework Program	2010-PA-102 June 2011	Office of Support Operations	I.1	Determine whether centralizing teleworking policy authority in a Telework Coordinator would add value to the program— The Telework Steering Committee (TSC) assesses the effectiveness of the Library’s telework strategy, reviews emerging best practices, evaluates infrastructure equipment, recommends processes to address changes in technology, and facilitates telework objectives. The revised telework regulation was reviewed by the Library of Congress Regulation Working Group and comments were forwarded to HRS for final revision. The target date for implementation is the third quarter of FY 14.
Subject	Report No.	Issue Date:	Office Rec.No.	Summary and Status of Recommendation
Office of Support Operations (Continued)
Telework Program	2010-PA-102 June 2011	Office of Support Operations	I.3	Collect data on and evaluate the costs and benefits of teleworking to determine whether it provides a cost-effective means to perform specific work requirements—The Library is reviewing best practices and is assessing infrastructure equipment. In addition to collecting this telework data, the TSC will conduct a cost-benefit analysis. The target date for implementation is the third quarter of FY 14.
Telework Program	2010-PA-102 June 2011	Office of Support Operations	I.4	Develop a telework health and safety checklist and incorporate it into its telework agreement forms—Under the revised telework regulation, the TSC will develop a health and safety checklist and each teleworking employee will complete and submit the form. The target date for implementation is the third quarter of FY 14.
Telework Program	2010-PA-102 June 2011	Office of Support Operations	I.5	Develop an interactive telework training program and require teleworkers and their managers to successfully complete it before beginning telework—The program will be released with the revised telework regulation in the third quarter of FY 14.
Telework Program	2010-PA-102 June 2011	Office of Support Operations	I.6	Revise LCR 2014-8 to address the permissibility of accessing sensitive, unclassified, and “For Official Use Only” data at offsite locations—The revised LCR was reviewed and comments sent to HRS for final revision. Target date for implementation is the third quarter of FY 14.
Telework Program	2010-PA-102 June 2011	Office of Support Operations	II.1	Review positions to determine whether they are prone to telework and do not create an additional burden on other areas—The telework LCR was revised to require that the nature of the work be suitable for telework and not adversely affect the workload or effectiveness of the teleworker, the supervisor, or other employees. The LCR was forwarded to the HRS Director. The target date for implementation is the third quarter of FY 14.
Telework Program	2010-PA-102 June 2011	Office of Support Operations	II.2	Institute policies requiring the availability of teleworkers by email, telephone, and in person when needed, including the use of remote call coverage for positions involving frequent telephone use—The revised telework LCR requires teleworkers to be available for contact by telephone and email during duty hours while teleworking. The LCR was forwarded to HRS for final revision with implementation targeted for the third quarter of FY 14.
Telework Program	2010-PA-102 June 2011	Office of Support Operations	IV.1.a	Require employees who are expected to telework during a Continuity of Operations (COOP) event to have adequate training, infrastructure support, and practice—The Library’s Remote Environment is a new key infrastructure element that allows employees to telework during a COOP event. Staff training and education is underway and a hands-on drill that will implement this recommendation fully is anticipated for the fourth quarter of FY 14.
Subject	Report No.	Issue Date:	Office Rec.No.	Summary and Status of Recommendation
Office of Strategic Initiatives (OSI)
Information Technology Strategic Planning Follow-up	2011-IT-103 December 2011	Information Technology Services	I.2.C	Account for all IT costs, including computer security as part of the IT budgetary process—The Office of the Librarian continues its information resources management (IRM) plan implementation and IT spending and investment reviews. The results of these reviews and current Library-wide planning will determine whether any organizational or resource allocation changes are warranted. The target implementation date is the first quarter of FY15.
Information Technology Strategic Planning Follow-up	2011-IT-103 December 2011	Information Technology Services	I.3.A	Separate the IT support functions from OSI and establish the Office of the Chief Information Officer (CIO) from the ITS Directorate and other IT support functions of OSI. The CIO will report directly to the Librarian or Deputy Librarian with duties, responsibilities, and authority consistent with best practices— The Office of the Librarian continues its IRM plan implementation and IT spending and investment reviews. The results of these reviews and current Library-wide planning will determine whether any organizational or resource allocation changes are warranted. The target implementation date is the first quarter of FY 15.
Information Technology Strategic Planning Follow-up	2011-IT-103 December 2011	Information Technology Services	I.5.A	Implement service level agreements to manage customer expectations— The current strategic planning process overseen by the Strategic Planning Office (SPO) has a provision for ITS to provide support to service units according to their documented requirements. This recommendation is pending further guidance from the strategic planning process with a target completion date in the first quarter of FY 15.
Information Technology Strategic Planning Follow-up	2011-IT-103 December 2011	Information Technology Services	I.5.D	Rather than offering the new help desk system as an interface, ITS should require all technology offices throughout the Library to use a standard help desk system to take advantage of economies of scale—ITS continues to work closely with service units to leverage the centralized, shared solution for help desk management. ITS plans to integrate the remaining service units as resources are made available with a target date in the first quarter of FY 15.
Information Technology Strategic Planning Follow-up	2011-IT-103 December 2011	Information Technology Services	I.5.F	Develop a set of metrics for ongoing use to measure performance. These metrics should change and evolve over time as one area shows improvement; new metrics should be developed for other areas—A comprehensive set of metrics was established as part of the new IT help desk contract. Over the next several months ITS will gather baseline data in order to evaluate the effectiveness of these metrics and determine what refinements are necessary. The target date for completion is the fourth quarter of FY 14.
Information Technology Strategic Planning Follow-up	2011-IT-103 December 2011	Information Technology Services	I.5.G	Conduct regular customer surveys and open informational meetings—The Enhanced Help Desk project includes improvements to survey capabilities tied to closed incident and service request tickets. The target completion date is the third quarter of FY 14.
Subject	Report No.	Issue Date:	Office Rec.No.	Summary and Status of Recommendation
Office of Strategic Initiatives (Continued)
Information Technology Workstation Management	2012-PA-101 September 2012	Information Technology Services	I.1	ITS should improve its communications and transparency with service units regarding the IT equipment which is available in inventory—The IT Asset Management & Configuration Management Database (CMDB) project is being chartered and will span 18-24 months. The CMDB will use a phased approach to aggregate IT assets and configurable items. In addition, ITS takes a monthly inventory and will publish the information on the ITS Web site. Target date for implementation of the first phase is the fourth quarter of FY14.
Library-Wide Computing Efficiencies	2013-IT-101 March 2013	Information Technology Services	I.1	Collect data on efficiency levels of servers, maintain comprehensive server inventory data in a central repository, and continuously track data on the power used by its data center—The resources required to implement server efficiency tracking are supporting priority projects, including the implementation of environmental controls monitoring for Library collections and critical technology infrastructure components. The target implementation date is revised to the fourth quarter of FY 14.
Library-Wide Computing Efficiencies	2013-IT-101 March 2013	Information Technology Services	I.2	Report to the Deputy Librarian the progress made in adopting the specific recommendations of the outside consultant’s report on server virtualization, and the steps and timeframes it will take to implement such recommendations and the Library’s return on investment/cost savings to be achieved— ITS is currently identifying viable recommendations from the consultant’s report in the context of other strategic technology initiatives, ongoing operational activities, and resource constraints at the Library. ITS will construct a plan for implementing viable recommendations and provide reasons for those it will not implement. ITS anticipates completing this plan by the third quarter of FY 14.
Library-Wide Computing Efficiencies	2013-IT-101 March 2013	Information Technology Services	II.1	Develop an enterprise-wide plan to guide management decision-making on possible cloud solutions—ITS has developed a plan to guide decision-making on potential cloud solutions. This plan will be vetted with Library management and stakeholders over the next several months with a target date for completion in the fourth quarter of FY 14.
Library-Wide Computing Efficiencies	2013-IT-101 March 2013	Information Technology Services	II.2	Instruct ITS to take the lead in initiating evaluations of viable cloud computing solutions for the Library—ITS has developed a plan to guide decision-making on potential cloud solutions. This plan will be vetted with Library management and stakeholders over the next several months with a target date for completion in the fourth quarter of FY 14.
Enterprise wide Web Search Strategy	2013-IT102 September 2013	Office of the Librarian, OSI, LS	II	LS should collaborate with the Web Governance Board and ITS to evaluate whether there is usable data in the XML database and, if so, develop a plan to migrate the data stored to the new Web search platform—ITS is ready to work collaboratively to evaluate the XML database and develop a plan to migrate the usable data. The target date for implementation is the second quarter of FY 15.
Subject	Report No.	Issue Date:	Office Rec.No.	Summary and Status of Recommendation
Human Resources Services (HRS)
Multi-Sector Workforce	2010-PA-105 March 2011	Human Resources Services	I	Develop and implement a structured procedure that provides a uniform method for making in/outsource personnel determinations. This procedure should provide the means to identify which activities are inherently governmental and which service provider represents the best value to the Library—The National Finance Center Person model is fully implemented. The Board was provided a process to apply existing procedures, workflows, and approvals to accomplish the objectives within existing policy framework.
Office of Strategic Initiatives (OSI)
Information Technology Strategic Planning Follow-up;	2011-IT-103 December 2011	Information Technology Services	II.1	Coordinate with service and support units to identify and prioritize the legacy systems/applications that require certification and accreditation evaluations, and determine how the required evaluations should be funded—Technical changes to LCR 1620, Information Technology Security Policy of the Library of Congress were completed in the fourth quarter of FY 13.
Enterprise wide Web Search Strategy	2013-IT102 September 2013	Office of the Librarian, OSI, LS	III	Determine whether there are any projects that are in development but did not otherwise meet the ITSC’s criteria of being a new project, and include them under the ITSC’s purview—The ITSC chair requested that ITSC members consider active IT projects as investments tracked by the ITSC, with the goal of producing a report of the review and results. One investment was added it to the ITIM Control Phase.
	Number of Audit Reports	Total Funds Put to Better Use
No management decision was made by the start of the period:
Issued during the period:
In need of management decision during the period:
Management decision made during the reporting period: •Value of recommendations agreed to by management •Value of recommendations not agreed to by management
No management decision made by the end of the reporting period: •Less than 6 months old: •More than 6 months old: