AUDITS Process and Corrective Actions

1. AUDITSProcess and Corrective Actions EPA Order 2750 CHG 2, December 3, 1998 http://intranet.epa.gov/ohr/rmpolicy/ads/manuals/2750_2_t.pdf (OIG Audits Only)

2. Notification Memo Kickoff Meeting with Agency Data Gathering & Analysis Go/No-Go Decision Field Work Reporting Project Notification Memo Entrance Conference Data Gathering and Analysis Meet With Agency Discussion Draft Report Draft Report Exit Conference Agency Response Closeout and Follow-up Agency Response OIG Evaluation of Response EPA Tracks Open Recommendations OIG Follow-up on Selected Reports OIG Audit/Evaluation Process Preliminary Research OIG Provides One-Page Point Paper Final Report

3. OIG Written Reports Discussion Draft Reports (Chapter Report): Used to convey project results. This is an advanced copy of the draft report and the response from Agency officials are typically informal. Agency officials are typically given 7 days to review and comment. Draft Reports (Chapter Report): Used to convey project results. The reports address complex and/or multiple issues. This report requires a formal response from the Agency and the Agency’s complete response will be added to the final report. Agency officials are given 30 days to provide response. Final Reports (Chapter Report): Used to convey project results. The reports address complex and/or multiple issues. This is the last report from the audit assignment. Agency officials are give 90 days to respond and provide corrective action plan on agreed upon recommendations. Memorandum Reports: Used to report limited information to the Agency, such as when a project is ended after preliminary research. Letter Reports: Used to submit information to someone outside the Agency, such as a member of Congress. Letter reports frequently answer specific requests.

4. OIG Written ReportsContinued Letter Reports: Used to submit information to someone outside the Agency, such as a member of Congress. Letter reports frequently answer specific requests. Agency action/response is noted in report transmittal. Early Warning Reports: Used to convey significant, time-critical issues to Agency management before completing the ongoing project and before publishing a chapter or memorandum report. Agency action/response is noted in report transmittal. Quick Reaction Reports: Also used to convey significant time-critical issues with recommendations to Agency management. These reports, however, differ from early warning reports in that they are prepared at the conclusion of the review and no further reporting is anticipated. Agency action/response is noted in report transmittal. Briefings: Used to communicate results quickly, or provide project status to the Agency. Information can also be presented through such techniques as a PowerPoint presentation, videos, and compact disks. Agency action/response is noted in report transmittal.

5. GAO Written Reports • Draft Report • Final Report

6. OEI WRITTEN PRODUCTS • Emails • Draft OIG and GAO Responses • Final OIG and GAO Responses • Corrective Action Plan (including Corrective Actions) • Certification Memos • Audit Follow-up Log (unofficial log maintained by OPRO) • OPRO Monthly Reports to OEI Management • ASSERT files • CAP SOPs – in development now

7. Corrective Action Process

8. Recommendations and Corrective Actions(and ASSERT?)

9. The Corrective Action Response BASIC RULES • SPECIFIC DATES PLEASE – MM/DD/YYYY • Not Spring 2010 • Not March 2010 • Not “ongoing” – project and program activities are ongoing; but, corrective actions are not – they are either scheduled to be completed or completed • LETTER • No need to write Corrective Actions in letter, just attach Corrective Action Plan • Maintain a current CAP • Management reference • Use this in the Certification Memo with status

10. ADDITIONAL DOCUMENTS

11. OTOP RESPONSIBILITIES • OTOP Director • Designate contact person for overall audit coordination • Designate contact person for each audit • Respond to draft reports • Provide language for OEI AA’s response to final reports • Ensure staff implement CAP or update CAPs as needed • Develop certification memo for OIG audits • OTOP Audit Liaison • Coordinate audit contacts and responses • Maintain current status of OTOP audits • Audit Contact • Attend meetings with auditors • Provide requested audit materials • Provide updated status during audit to the OEI Audit Follow-up Coordinator • Provide updated status after CAP is in place for when individual corrective actions are completed OR if late, assist in making necessary changes

12. ATTACHMENT A Office of Environmental Information Corrective Action Plan The form can be used for both the initial corrective action plan and any subsequent follow-up revisions.