About the FAEC

Purpose:
To discuss and coordinate issues affecting the Federal audit community with special emphasis on audit policy and operations of common interest to Federal Audit Executive Council (FAEC) members

Charter: FAEC Charter
Reissued and attested by Michael R. Phillips, Chair 11/09/09, to amend the membership language to include related organizations identified in the CIGIE Charter.

Contact Us:

• Chair - Dr. Brett Baker, AIG for Audit, NRC
• Vice Chair - TBA

FAEC Standing Committees:

Audit Policy and Procedures

• Chair, Richard Eyermann, DAIGA, EPA OIG

Financial Statements

• Chair, Mark Hayes, DAIGA, DoJ OIG

Information Technology

• Co-Chair, Peter Sheridan, AIG, FRB OIG
• Co-Chair, Khalid Hasan, Senior OIG Manager, FRB OIG

Contracting

• Co-Chair, David Reynolds, Supervisory Auditor, DoI OIG
• Co-Chair, Eric Atkinson, Auditor, DoI OIG
• Co-Chair, Shenika Cox, Assistant Regional Audit Manager, DoJ OIG

DATA Act Working Group

• Governance – Dr. Brett M. Baker, AIGA, NRC OIG and FAEC Chair
• Governance – Deborah Harker, AIGA, Treasury OIG
• Chair – Pauletta Battle, DAIGA, Treasury OIG

Annual Conference

• Jewel Butler, AIGA, NARA OIG
• Kimberly Boykin, Audit Manager, NARA OIG
• Lissette Mercado, IT Audit Advisor, DoT OIG

Quality Assurance Working Group

• Chair, Devin Polster, Director of Audits and Inspections Quality Assurance, DHS OIG
• QAWG Charter

Bi-Monthly Meetings

• FAEC Meeting - January 30, 2018
• FAEC Training Program - June 27, 2017
• FAEC Training Program - December 15th, 2014
• FAEC Training Program - May 19th, 2014
  • Biographies
  • VA-OIG MIS Solution
  • DHS-OIG Auditing Acquisitions For Fraud
• FAEC Training Program - January 16, 2013
  • Organizational Risk Assessment: Department of Commerce Audit Process
  • Andrew Katsaros - Assistant Inspector General for Audit, DOC
  • Ann Eilers - Principal Assistant Inspector General for Audit and Evaluation, DOC
• FAEC Meeting - August 1, 2013
  • From a Standards-Based Audit Manual to a Workflow-Based Project Guide - Presentation
  • John K. Needham - Biography
  • Andrea I. Rambow - Biography
  • Major IT Acquisition Audit Steps - FAA's ERAM Program - Presentation
  • Terrence J. Letko - Biography
• FAEC Training Program - April 2, 2013
  • Gene Aloise
  • Hubie Sparks - Biography
  • Hubie Sparks - Presentation
• FAEC Training Program - October 24, 2012
  • John Trefry Biography
  • EPA Forensic Audit Product Line
  • Alan R. Duncan Biography
  • Lessons from Treasury Inspector General for Tax Administration
• FAEC Meeting - August 22, 2012
  • Charles Evans Coe, Jr. Biography
  • How-to leverage Data Analytics to support Audit or Investigation Services Presentation
  • Andrew B. Einhorn Biography
  • OhMyGov Presentation
• FAEC Training Series - June 14, 2012
  • Doris G. Yanger - Biography
  • Heather I. Keister
  • Green Book Update
  • Dr. Cary Kemp Larson - Biography
  • Emotional Intelligence - Dr. Cary Kemp Larson Presentation
• GAO Information Security Issues;
  GAO; 04/18/12
• Review of the Usefulness of the Small Business Innovation Research Tech-Net Database;
  Small Business Administration; 02/15/12
• Data Mining (DM) Tools Helping 11 Agencies Identify Fraud in Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Programs; Arnold Pettis and David Gadren, NASA; 02/15/12
• ARRA: New Model for Governmentwide Reporting The Era of Accountability and Transparency; Recovery Accountability and Transparency Board; 11/16/11
• Biographies of Recovery Accountability and Transparency Board Speakers; 11/16/11
• Improper Payments; Rona Lawson, Social Security Administration OIG; 11/16/11
• Biography of Rona Lawson, Social Security Administration; 11/16/11
• Key Risks for Government Auditing in FY2012; Sampriti Ganguli, Managing Director, Corporate Executive Board; 02/16/11
• Suspension & Debarment Overview; Steve Bross, NSF OIG & Mona Mafi, EPA OIG; 10/26/10
• Framework for Grant Oversight; Brett M. Baker, Ph.D, CPA, CISA, AIGA NSF; 10/26/10

Annual Conferences

2017 Annual Conference, September 25-26, 2017

2014 Annual Conference, September 3rd & 4th

• September 3rd Slides

  • Audit Focus Group: Auditor Skills Report
  • Deficiencies in Project Management in Construction of the Silver Spring Transit Center
  • Critical Thinking Skills
  • Suspension and Debarment: How Does it Work?

• September 4th Slides

  • GAO Standards Update
  • Information Technology Maturity Model and Continous Monitoring for FISMA
  • Streamlined Audit Report Writing
  • DATA Act
  • Information Security Update Risk and Trust in the Clouds: FedRAMP, Trusted Internet Connections, and Continuous Monitoring

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2013 Annual Conference, September 24, 26, and 27

Free to registrants, no prerequisites, <14.5 CPEs.

Information:

• Agenda
• Speaker Bios
• Sept. 26th - 10-11:00am: Use of Risk Assessments in a Time of Decreasing Resources Panel
• Sept. 26th - 11:00am: Procurement Fraud Civil Remedies Act and Suspension and Debarments
• Sept. 26th - 1:30pm: GAO Yellow/Green Book Update
• Sept. 26th - 2:45pm: Leading Change Management
• Sept. 27th - 8:00am: Do Not Pay Program Update
• Sept. 27th - 10:10am: Trust Building Communication Skills for Auditor
• Sept. 27th - 11:00am: Auditing Conference Costs
• Sept. 27th - 12:10pm: Shifting Information Security Landscape from C&AS to Continuous Monitoring
• Sept. 27th - 1:00pm: Audit Metrics and Performance Measures
• Sept. 27th - 3:00pm: Hiring Authorities and Flexibilities

CPE Certification forms:

CPE Certification form (September 24th, 2013)
CPE Certification form (September 26th, 2013)
CPE Certification form (September 27th, 2013)

FAEC Procurement Conferences

2023 Virtual FAEC Procurement Conference, November 8 & 9, 2023

Agenda

• View

Conference Bios

• DHSOIG Presenters
• DOD OIG Presenters
• Colin Arbes - USPSOIG
• DOJ OIG Panelist and Presenters
• PBGC OIG Presenters
• Conference Planners / Hosts

Presentations

• DODOIG - Civil Cyber Fraud Initiative
• USPSOIG - Program Cost Tracking System (PCTS) Data Analytics Tool

Reference Materials & Tools

• Peer Review Schedule; in .pdf format
• CIGIE Implementing Guidance Report; in .pdf format
• Cloud Computing - Questions to Ask (from September 2011 Training Conference)
• Forensic Audit and Automated Oversight, Case Study: Purchase Card (January 2010)
• Executive Order -- Reducing Improper Payments and Eliminating Waste in Federal Programs (January 2010)
• Contract Audit Guide Framework
  • Framework Introduction
  • Framework (updated December 2020)
  • Topic 1: Acquisition Planning
  • (July 2010)
  • Topic 2: Market Research
  • (May 2010)
  • Topic 8: Small Business Considerations (February 2010)
  • Topic 10: Undefinitized Contract Actions (updated December 2020)
  • Topic 11: Contract Cost And Price Analysis (October 2010)
  • Topic 19: Non-Competitive Actions (December 2020)
  • Topic 32: Contract Closeout (January 2012)
  • Special Topic: Government Purchase Cards (January 2012)
• Contract Risk Assessment Tools (September 2009)
  • Contract Risk Assessment Worksheet Coversheet
  • Instructions for Using the Contract Assessment Worksheet
  • Contract Risk Assessment Worksheet (.xls format)
• HHS-OIG Data Quality Reviews (September 2009)
• Forensic Audit and Automated Oversight (September 2009)
• OIG Recruiting Presentation; .ppt format (June 2009)
• Fraud Indicators in Procurement and Other Defense Activities (May 2009)
• FISMA Framework (September 2006)
• OMB's FY 2006 FISMA Reporting Requirments
• Financial Statement Contracting Samples & Tools
  • Final FSAN Monitoring tool for financial statement audits; 9-25-06 (.xls format)
  • Instructions for Preparing Proposals (.pdf format)
  • Sample Request for Proposal ~ Annual Financial Statement Audits (.doc format)
  • Technical Evaluation Panel Member's Responsibilities (.pdf format)
  • Request for Proposal Selection Criteria / Method of Award (.doc format)

Training

• Boosting Auditor Communications Skills for Better Results
  The Honorable Richard Moore, JD
  Inspector General, Tennessee Valley Authority
• Shifting the Audit Paradigm
  The Honorable Theresa M. Grafenstine, CPA, CISA, CIA, CRISC, CGEIT, CGAP, CGMA
  Inspector General, U.S. House of Representatives
• FAEC Annual Conference November 27-28, 2012
  • Conference Schedule
  • Conference Biographies
  • Brian Miller - Presentation
  • Arleas Upton Kea - Presentation
  • David Williams - Presentation
  • CCI Strategic Plan
  • Leveraging Audit Software Teammate
  • Investigations Committee FAEC
• FAEC 2011 Training Conference: The Future of Accountability; September 8-9, 2011
  Clicking on the above link takes you to the Agenda, Slides (in powerpoint &
  adobe acrobat format), & biographies included
• Peer Review Training, February 2012
  • Summary of Peer Review Training Materials; in .pdf format
  • Peer Review Training Agenda; in .pdf format
  • Presenter Biographies; in .pdf format
  • Guide for Conducting External Peer Reviews of the Audit Organizations of Federal Offices of Inspector General (03/09); in .pdf format
  • Peer Review Guide Overview; Bob Taylor Treasury OIG (in .pdf format) (in .pptx format)
  • Section 1: Guidelines for OIG Quality Control and Assurance Program; Kieu Rubb, Treasury OIG
    (in .pdf format) (in .pptx format)
  • Getting Ready, Section 2, Memorandum of Understanding, and Appendix A; Allan Sherman
    (in .pdf format) (in .ppt format)
  • Optional Audit Staff Questionnaire; Carolyn Davis (in .pdf format) (in .ppt format)
  • Appendix B, Checklist for Review of Adherence to Selected General and Other Standards; Kieu Rubb, Treasury OIG
    (in .pdf format) (in .pptx format)
  • Appendix D, Attestation Engagements; Carolyn Davis (in .pdf format) (in .ppt format)
  • Appendix E, Checklist for Review of Performance Audits; Ashton Coleman, Defense OIG (in .pdf format) (in .ppt format)
  • Appendix C, Checklist for Review of Financial Audits Performed by the OIG; Mary Harmison, FTC OIG
    (in .pdf format) (in .ppt format)
  • Appendix F, Checklist for Review of Monitoring Performed over Contracted Audits and Attestation Engagements by Non-Federal Auditors; Kieu Rubb, Treasury OIG
    (in .pdf format) (in .ppt format)
  • Peer Review Reporting; Vicki McAdams, Naval Audit Service, Director of Policy
    (in .pdf format) (in .ppt format)
• FAEC Contracting Committee Recommended Basic Contract Trainining

Audit Community Reports & Survey Results

• Audit Resolution Survey and Report
  • FAEC Audit Resolution Roundtable Summary Report (June 2017)
  • FAEC Audit Resolution Survey Summary Report (December 2016)
• Federal Employees' Compensation Act: A Nationwide Review of Federal Employees Who Received Compensation for Lost Wages for Periods When "Earned Wages" Were Reported on the Social Security Administration's Master Earnings File (May 2007)
• Human Capital Management Challenges; an FAEC Human Resources Committee Survey (2006)
• Agencies Use of Independent Public Accountants (February 2005)
  • Summary Results
  • Question Responses
  • Comments

Audit Related Organizations

• CIGIE Audit Committee
• FASAB Accounting and Audit Policy Committee
• Treasury Financial Management
• National Intergovernmental Audit Forum
• National Procurement Fraud Taskforce
• Government Accountability Office (GAO)
  • Government Auditing Standards (The Yellow Book ~ December 2011 Revision)
  • Continuing Professional Education Requirement
  • Selected GAO Publications & Checklists
    • GAO Checklist for Reviewing Systems Under FFMIA (issued February 2005)
    • Internal Control Standards in Federal Government

Archives

FAEC Procurement Conference, April 17, 2012

• Terry Letko (Opening Remarks and FAEC Audit Guides – New Guide on Contract Closeout);
• Richard W. Sponseller (Civil False Claims Act);
• Richard W. Sponseller (Civil False Claims Act Contracts and Damages);
• Arnold Pettis (Establishing a Data Mining Initiative and Using Data Mining in Audits);
• Stephen Learned (Asking the Tough Audit Questions);
• Ann Wright (Auditing the Department’s Acquisition Structure and Function);