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Internal Controls and Assurance Statement - page 2 / 3

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USGS Strategy and Procedures for A-123 Program Reviews

A-123 guidance:

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Internal controls should be integrated into efforts to improve effectiveness and accountability – an integral part of the entire cycle of planning, budgeting, management, accountability, and auditing.

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Review plans should be based on risk.

Control environment –  structure and culture

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USGS national and regional matrix

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Programs, Operations, and Finance

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Survey Manual 500.25 Scientific Integrity

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Fundamental Science Practices/Peer Review (science proposals and products) Survey Manual 502.3

Program Risks:  

The work processes for the programs that USGS performs to deliver our mission have been identified as

Research and Assessment

Data Collection and Management

Risks are assessed and identified annually by the discipline chief scientists .

Identification of Control

Under GPRA, the USGS supports the primary mission areas of the DOI strategic plan.  The USGS primary product is scientific information.  Interior’s science mission and goals have clearly defined performance measures to gage progress in achieving this mission.  Quantitative measures of our performance are tangible and directly related to inputs, but they are primarily outputs (e.g., number of scientific papers published, data collected).  

To complement performance information, USGS validates the quality and relevance of its programs through Fundamental Science Practices (FSP) that ensure peer review processes are in place to ensure all products meet quality and relevance criteria.   As of January 16, 2009, USGS Fundamental Science Practices (FSP) has been fully implemented for all programs.  The scientific reputation of the USGS for excellence, integrity, and objectivity is one of the Bureau’s most important assets and the FSP will help us

preserve it.    

The FSP Advisory Committee was created to oversee effective implementation of FSP.  The FSPAC will be the primary contact for thoughts, opinions, and concerns regarding FSP.  The FSPAC will monitor full implementation of the FSP and ensure that any modifications to procedures or policy that merit consideration are brought to the attention of the Executive Leadership Team.

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