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.

TeamMate+

• Audit findings/observations and management’s action plan with anticipated due dates are sent to TeamMate+ for monitoring.
• TeamMate+ automatically emails Process Owners reminders to provide status updates and notifies of delinquent action plans.
• ALL information must be entered in TeamMate+ 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.
• 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.
• Establish reasonable implementation due dates for management’s plans of action.
• Timely enter status updates or changes to management’s plan of action in TeamMate+.
• 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 TeamMate+.
• 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.