DIVISION OF RESPONSIBILITIES FROM CONDUCT OF INVESTIGATION TO CONCLUSION OF AUDIT AND AUDIT FOLLOWUP

DIVISION OF RESPONSIBILITIES FROM SUBMISSION OF DATA TO CONDUCT OF INVESTIGATION

*Time interval will be shortened for "High" Priority Audits.

15 days

180 days or less

Attached is the Standard Operating Procedure for the internal audit function in OPP. This function and procedure has been approved by me for use throughout the program. The audit function is important enough to warrant its creation immediately and staffing as soon as possible.

I know that the program management levels will work with the audit staff to help create an effective and efficient effort to maintain the quality of our activities and decisions.

Questions or suggestions should be directed to Kevin Keaney, Special Assistant to the Program Director, Room 1109c, 557-7096.

Addressees:

OPP Division Directors
OPP Branch Chiefs

OPP Section Heads

Edwin L. Johnson, Director
Office of Pesticide Programs

Purpose:

Scope:

Background:

Standard Operating Procedure

Internal Audit Function in OPP

To provide an independent review of the application and adherence of policy and processes in OPP in order to detect and correct any departures from these approved policies and practices.

All regulatory or administrative activities engaged in by
OPP personnel or by contractors to OPP.

The regulatory and administrative processes in OPP are
inherently complex and interrelated. A very large number of
actions are processed annually. The arena of mandated
deadlines, within which we work, makes management directed
urgency an essential part of office activity. Such realities
help create a potential for error or departures from the policy
or procedural norm. Most departures, while inadvertent,
are not in the best interest of a regulatory program where
internal consistency in adherence to policy and procedures
is essential.

I have decided that it is in OPP's best interests to create an internal audit function in OPP. This function is to be conducted by a small staff, supervised by Kevin Keaney, out of the Office of the Director. The purpose of this activity is to provide an independent review of the application and relevance of policies and processes in OPP. The contemporaneous application of policy and procedures to regulatory actions will be assessed in order to detect and correct departures from approved policy and practices. These reviews will help identify potential weaknesses in the Program before they surface in a context where they can have a negative effect on those involved.

This exercise should be seen as a supportive consulting effort
rather than one with negative or punitive overtones. In order
to carry out this mission effectively, the audit staff will
need to develop and maintain the trust and support of the
people directly involved in the processes under review.
In order to help generate this support, the review team
will be composed of members internal to OPP who have been
detailed from line activities. Also, every attempt will
be made to develop an explicit and fair process for surfacing
problems at the lowest appropriate level. This is designed
to help the people involved solve the problem in the least
disruptive fashion that is compatible with developing
more efficient and effective decision support systems for
the program.