Office of the Inspector General Follow-Up Process Follow-up Policy
The Office of the Inspector General conducts follow-up reviews to determine the status of management actions and correct deficiencies noted in the audit.
Audit findings/observations and management’s action plan with anticipated due dates are sent to TeamCentral for monitoring.
TeamCentral automatically emails Process Owners reminders to provide status updates and notifies of delinquent action plans.
ALL information must be entered in TeamCentral by either the Process Owner or a Contributor.
The first request for a revision/extension to an implementation due date MUST be made by the Process Owner in writing with a reasonable explanation and GM/CEO notification.
Additional requests for revisions/extensions to implementation due dates must be made in writing with GM/CEO written approval.
Any request for extension beyond the maximum limit of two (2) will be escalated to the Inspector General. Delinquencies
Monthly delinquency status reports are discussed at Commission Meetings.
Management Action Plans that are 60 days delinquent will be reported to the Deputy General Manager of the respective owner.
GM/CEO receives a delinquent memo for action plans that are 90-days delinquent.
Commissioners receive a delinquent memo for action plans that are 120-days delinquent.
Delinquent action plans will be escalated to the Commissioners if the risk to the Commission has increased.
Process Owner’s Role & Responsibilities
Own all issues, the risks associated with the issues, and the action plan to mitigate the risks; unless otherwise notified.
Ensure the plan of action is realistic, will mitigate the risk identified in the audit report, and that it has been implemented.
reasonable implementation due dates for management’s plans of action. Timely enter status updates or changes to management’s plan of action in TeamCentral.
Monitor open or delinquent action plans.
Office of the Inspector General’s Role & Responsibilities
Verify that management’s action plan has been implemented and that it effectively mitigated the risk identified in the audit report.
Assist management with maneuvering through TeamCentral.
Consult management on how to effectively close out audit findings.
Report delinquent action plans to the DGM, GM/CEO and to the Commissioners on a monthly basis.
09:19 AM January 24 2020