How to Respond to Draft and Final Inspector General (IG) Audits

Updated 12/13/05

The IG conducts audits of selected ITA activities on an regular basis. Here are the key steps in the process:

• Attend Entrance Conference - ITA officials are briefed by the IG staff on the scope of, the anticipated time frame, and the objectives of the audit.
• Participate in IG Audit - The IG audit team gathers data, conducts interviews, and prepares a report; staff may be required to furnish materials, answer questions, or be interviewed.
• Attend Exit Conference - IG staff briefs ITA officials on findings of subject audit.
• Review Draft Report - IG audit team prepares a draft audit report and seeks ITA comments. ITA prepares and submits comments on draft report to the IG within 30 days (See Responding to a Draft Audit Report below).
• Review Final Report/Prepare Action Plan - IG audit team considers ITA comments and issues final report to ITA with instruction to prepare an action plan. ITA prepares audit action plan and submits to IG for approval within 60 days (See Responding to a Final Audit Report below).
• Implement Recommendations from Action Plan - IG reviews and approves the audit action plan for audit recommendations contained in the report. ITA implements audit recommendations according to in audit action plan.

RESPONDING TO A DRAFT AUDIT REPORT

• Receive Report - ITA program unit receives a draft IG audit report and an ITA Secretariat Control Ticket assigning action to prepare a response. (If an ITA Secretariat Control Ticket is not attached to the report, contact Linda Bell, Office of Organization and Management Support (OOMS), ext. 3032).
• Review Report - ITA action official reviews draft report, obtains relevant feedback from other appropriate ITA staff and, as necessary, contacts Linda Bell, OOMS, for guidance on response preparation.
• Obtain Comments - Other ITA program units may be assigned to provide comments to the action official on the ITA Secretariat Control Ticket. The action official should contact commenting officials to obtain their input.
• Prepare and Clear Response - The action official, within 30 days, completes draft response, obtains program unit clearance, obtains clearance of the Director, Office of Organization and Management Support for ITA clearance and obtains signature as indicated on the ITA Secretariat Control Ticket. The response is returned to OOMS for transmittal to IG and Secretariat ticket close-out.

RESPONDING TO A FINAL AUDIT REPORT

(ACTION PLAN PREPARATION)

• Receive Final Report - ITA program unit receives the final IG audit report and an ITA Secretariat Control Ticket assigning action to prepare an audit action plan. (If an ITA Secretariat Control Ticket is not attached to the report, contact Linda Bell, OOMS, ext. 3032).
• Review Report - The action official reviews the final report and contacts, as necessary, Linda Bell, OOMS, for guidance on audit action plan preparation.
• Prepare Action Plan - The action official, within 60 days, prepares action plan, obtains program unit clearance, and clearance of the Director, OOMS and signature of the audit action official. The action plan is sent to OOMS for transmittal to IG and Secretariat closeout.
• Review Audit Action Plan - IG staff reviews audit action plan and concurs or negotiates implementation issues with audit action official to resolve differences.
• Implement Recommendations - ITA audit action official implements recommendations and completes items contained in the plan.
• Status Updates - ITA program unit will report on action items semi-annually until completion.

 

For additional information contact: Linda Bell at 202-482-3032 or via e-mail at Linda.Bell@mail.doc.gov