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INTEGRITY INDEPENDENCE EXCELLENCE
OVERSIGHTINTHEDOD&THEDODOVERSIGHTCOMMUNITY
MARVIN MCFARLAND
INTEGRITY INDEPENDENCE EXCELLENCE 2
What is Oversight?
Performance review of institutional performance to: carry out mandates, preserve discipline, focus on efficiency, productivity, and effectiveness.
Oversight is performed by bodies, units and processes that: monitor, report, and recommend. (positive and negative) Don’t direct management activities.
INTEGRITY INDEPENDENCE EXCELLENCE 3
WHY OVERSIGHT?
INTEGRITY INDEPENDENCE EXCELLENCE 4
WHY OVERSIGHT?o Accountability of government programs & operations
Public – “we the people” – the sovereign Transparent – “accountability” of the sovereign’s assets Overseers – Principal Officers and The Congress
o Decision Support- programs/operations are increasingly complex Technology Processes & systems Organizations People/culture Accelerating rate of change
o Improve performance outcomes Economy - use of resources that lower costs – value Efficiency – comparative use of consumption – input/output Effectiveness - maximize doing the right thing - impact
INTEGRITY INDEPENDENCE EXCELLENCE 5
THE U.S.DEPARTMENT OF DEFENSE
o $700 billion annual budget o Trillions in assetso 2.87 million people, the Nation’s largest employero 17 Defense Agencies, 10 DoD Field Activities, and 11 Combatant
Commandso Troops are stationed in 160+ countrieso 700,000 buildings in over 5000 locationso 17th largest school system, 7th largest grocery chain, 50+ major
hospitals
2
INTEGRITY INDEPENDENCE EXCELLENCE 6
INTEGRITY INDEPENDENCE EXCELLENCE 7
THE OVERSIGHT PLAYERS
AAA
NAS
DCAA
AFAADOD-IG
Air Force TIG
IGMC
Army TIG
NAVINSGENDCMA
INTEGRITY INDEPENDENCE EXCELLENCE 8
THE OVERSIGHT PLAYERS
AAA
NAS
DCAA
AFAADOD-IG
Air Force TIG
IGMC
Army TIG
NAVINSGENDCMA
CCMD
CCMD
DA
DA
INTEGRITY INDEPENDENCE EXCELLENCE 9
THE OVERSIGHT PLAYERS
AAA
NAS
DCAA
AFAADOD-IG
Air Force TIG
IGMC
Army TIG
NAVINSGENDCMA
CCMD
CCMD
DA
DA
Commissions
GAO
LIG OCO
INTEGRITY INDEPENDENCE EXCELLENCE 10
• Audit Agencies• Contract Management Agencies• Inspectors General• Military Criminal Investigative Organizations• Commissions
DoD Oversight Community
INTEGRITY INDEPENDENCE EXCELLENCE 11
• Audit Agencies– Naval Audit Service (NAS)
– Army Audit Agency (AAA)
– Air Force Audit Agency (AFAA)
• Contract Management Agencies– Defense Contract Audit Agency (DCAA)
– Defense Contract Management Agency (DCMA)
Audit Community
INTEGRITY INDEPENDENCE EXCELLENCE 12
• Inspectors General– Office of the Secretary of Defense– Defense Agencies– Field Offices– USCOCOMs– Joint Staff– Military Services– Intelligence Agencies – SIGAR (DoD & DOS)– SIGIR (DOS & DOD)– LIG OCO
Department of DefenseIG Community
INTEGRITY INDEPENDENCE EXCELLENCE 13
• Military Criminal Investigative Organizations– Naval Criminal Investigative Service (NCIS)
– (Army) Criminal Investigations Division (CID)
– Air Force Office of Special Investigations (AFOSI)• Departmental Criminal Investigative Organization
– Defense Criminal Investigative Service (DCIS)
Criminal Investigations Community
INTEGRITY INDEPENDENCE EXCELLENCE 14
• Commissions– Commission on Wartime Contracting in Afghanistan and
Iraq– Commission on Army Acquisition and Program
Management in Wartime Contracting– Base Realignment and Closure Commission– DoD Peace Officer Standards and Training (POST)
Commission
Commissions
INTEGRITY INDEPENDENCE EXCELLENCE 15
o Mission Focus is the operating sphere of the government agency, body or principal officer DoD OIG: program focus
• Broad integrated programs, systems of systems
Defense Agencies: enabling support• Operational support
Joint IGs: readiness, war fighting and mission capabilities• Varies by mission focus
Military Services: readiness • Equipment, training, and personnel
Field Operating Agencies: functional & technical• Functional systems or programs
IGs-Mission Focus
INTEGRITY INDEPENDENCE EXCELLENCE 16
o Office of The Inspector General, DoD Congress
• Oversight Committees• House• Senate
Department• Secretary• Functional Principal Officer
Public• Interest groups• Individuals
Reporting & Responsiveness
Public Responsiveness
INTEGRITY INDEPENDENCE EXCELLENCE 17
REPORTING &RESPONSIVENESSo Military Departments Service IGs
• Principal Civilian Officer• Service Secretary• Director
Military Chain of Command• Chief of Staff• Director• Commander
INTEGRITY INDEPENDENCE EXCELLENCE 18
LINES OF COMMUNICATION
Agency Congress Secretary MilitaryChief
Agency/Staff Chief
DoD IG Report Report N/A
Military Service IG Report Respond N/A
USCOCOM IG N/A Report N/A
Defense Agency IG N/A N/A Report
Field Office IG N/A N/A Report
INTEGRITY INDEPENDENCE EXCELLENCE 19
IG Oversight Functions
Fundamental Elements Audits Inspections/Evaluations Investigations Training & Education
The Goal, is enhanced effectiveness, productivity, and integrity.
INTEGRITY INDEPENDENCE EXCELLENCE 20
Common functions, different cultures Audits
Financial, performance, & business operations Investigations
Validation of whether wrong-doing or violations occurred Inspections and Evaluations
Compliance, Functions, and Systems Personal Assistance
Complaints resolution Education- “teaching and training”
Bridge the gaps
What does oversight do?
INTEGRITY INDEPENDENCE EXCELLENCE 21
What does oversight do?Investigates
Criminal investigations Terrorist and Intelligence threats Illegal Technology Transfer Public Corruption and Procurement Fraud Fraud Computer Crimes Major Crimes
Administrative investigations Senior Official Whistleblower Protection
Improper Mental Health Referrals Reprisal
Misconduct/Ethics Violations
INTEGRITY INDEPENDENCE EXCELLENCE 22
What does oversight do?Inspects
Compliance Inspections
Functional Inspections
Systemic Inspections
INTEGRITY INDEPENDENCE EXCELLENCE 23
JOINT IGFUNCTIONS Assistance
Resolving issues so the individual can focus on the assigned mission. Uses informal fact-finding process to resolve request for help, information, or issues.
Investigations Respond to allegations to provide the Commander sound
and factual basis for proper action. Uses formal fact-findingfor the appointing authority.
INTEGRITY INDEPENDENCE EXCELLENCE 24
JOINT IGFUNCTIONS Inspect
Relevant, responsive examinations to provide accurate and timely Command feedback on functions or systems that accurately reflect the conditions. Uses structured fact-finding on behalf of the appointing authority.
Teach and Train IGs enhance the warfighting and readiness capabilities by
teaching and training commanders, service members and others on current policy, process, doctrine and best practices. IGs serve to bridge critical experience gaps.
INTEGRITY INDEPENDENCE EXCELLENCE 25
BEDROCK PRINCIPLESPASS/FAIL
o Integrity Ethical conduct – personal & professional conduct
o Independence Personal, external, & organizational impairments
o Objectivity Impartiality, free of conflicts of interest, intellectual honesty
o Professional judgment Education, experience, use of established standards
o Confidentiality Safeguard identity of contacts Respecting the ownership of information Professional and legal obligations supersede
INTEGRITY INDEPENDENCE EXCELLENCE 26
ACCOUNTABILITYo Warfighters – peace and war
Service Members, Civilians, and Contractors
o Overseers Legislative Branch Judicial Branch
o Individuals Taxpayers Citizens/non-citizens Interest groups
INTEGRITY INDEPENDENCE EXCELLENCE 27
o IG Reform Act 2008
o An independent entity established within the executive branch to address integrity, economy and effectiveness issues that transcend individual Government agencies and aid in the establishment of a professional, well‐trained and highly skilled workforce in the Offices of Inspectors General.
INTEGRITY INDEPENDENCE EXCELLENCE 28
DEFENSE COUNCIL FOR INTEGRITYAND EFFICIENCY (DCIE)
AAA
NAS
DCAA
AFAADOD-IG
Air Force TIG
IGMC
Army TIG
NAVINSGENDCMA
CCMD
CCMD
DA
INTEGRITY INDEPENDENCE EXCELLENCE 29
Joint/DefenseIG Issues
WHO TO KNOWMarvin McFarland (703) 604-9151marvin.mcfarland@dodig.mil
Janice Harper (703) 699-0217janice.harper@dodig.mil
Eric Young (703) 604-9332eric.young@dodig.mil
Ronald Colaninno (703) 604-9119ronald.colaninno@dodig.mil
INTEGRITY INDEPENDENCE EXCELLENCE 30
FINALLY: Thank You for Serving!
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