Identify the key elements of performing an inspection ...
Transcript of Identify the key elements of performing an inspection ...
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Presented by:Jeffrey Clark, Sr., CIG,CIGI, CIGE
Inspector General
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Course Objectives
• Identify the key elements of performing an inspection/evaluation
• Execute an inspection/evaluation and meet the established objectives
• Prepare findings and recommendations
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There are different kinds of inspector general functions.
No two inspector general functions are exactly the same.
No two inspector general inspections/evaluations are exactly the same.
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Three Phases of an Inspection• Planning/Preparation
Notification, research, schedule with counterpart, detail plan, checklist
• Execution
On-site visit, review of documents, conduct interviews
• Completion
Out brief, document findings, finalize report
Inspection Process Phases
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Four Parts:
• Part I: Entrance Conference (In brief)
• Part II: Information Gathering
• Part III: Analyze Data/Information
• Part IV: Exit Conference (Out brief)
Inspection/Evaluation Execution
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A good plan is the essential foundation for good execution.
The Inspection execution is simply implementing the plan.
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Conductin-briefing/
entrance conference.
Inform leaders of the entity being inspected, the purpose and scope of the inspection; what is needed
and what to expect.
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Continue gathering information (begun in planning phase), conduct interviews, sensing sessions, observations, focus
groups, etc.
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The methodology is the standard approach the Inspection Team will follow during the inspection.
• Each team member must have a specific function within the team.
• The methodology is the way the team would ideally like to conduct the inspection.
• The methodology must be designed to reduce the risk of the team reaching incomplete or inaccurate conclusions.
Methodology
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• Observe people, property, events, etc.
• Walk through the processes with the staff.
Observation
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Observation
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Observation
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1. Organize documents and data obtained Note source and date obtained
Summarize what you learned
2. Keep a list of what you still need answered (outstanding questions)
3. Create process flowcharts
4. Consider how to make it useful for: This inspection/evaluation
Future reviews
Future risk assessments (annual plan)15
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Dat
a Co
llect
ion Physical Evidence
Interviews/Focus Groups
Document and Data Review
Direct Observation
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Internal Controls: processes designed to
provide reasonable assurance regarding the achievement of…
Effectiveness and
efficiency of operations
Reliability of financial reporting
Compliance with
applicable laws/
regulations17
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• OIG staff engaged in inspections, evaluations, and reviews have a responsibility to be alert for indications of illegal activity in the course of conducting their work.
• If in the course of the inspection, evaluation, or review they become aware of illegal acts, or indication of such acts, they should promptly present such information to their supervisors for review and possible referral to the appropriate investigative authority.
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Document all information that will assist in supporting your findings, conclusions, and recommendations.
Workpapers/Information Memorandums (IM) should be prepared and include:
• Identity of who gathered the information• Date of information acquisition• Purpose of workpaper/IM• Source(s) of Information• Scope• Conclusions
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Inspection/Evaluation Execution: Part III
Analyze information and data collected
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Interviews & Focus Groups Surveys Direct
Observation Desk Reviews
Coding of responses
Tabulations/Coding of responses
Tabulation/ Coding of
results
Tabulation/ Coding of documents
Key evidence & early
findings from interviews
Key evidence & early
findings from surveys
Key evidence & early
findings from observation
Key evidence & early
findings from documents
Aggregation of key evidence & early findings from all data sets (template)
Preliminary results (Findings)
Analysis of different data sets
Overall data analysis &
triangulation
Data Analysis
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Finding
• An evaluation that identified a condition having an effect based on evidence or observation.
• Findings are considered nonconformance (NC) or an opportunity for improvement (OFI).
What is a Finding?
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Finding
Some OIGs Categorize Findings:• Nonconformance (NC): A finding is considered an NC if an
established requirement has not been complied with and there is objective evidence that can be cited.
• Opportunity For Improvement (OFI): An OFI is a recommendation for improvement of a particular situation or operation.
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Get all of the relevant elements of the finding before ending fieldwork.
Start early and often on possible findings.
Any gap between what is (condition) and what should be (criteria) may be a new finding.
Learn the cause by asking agency staff and management why the problem occurred.
No cause no recommendation.
There is usually an immediate/local cause and a root cause.
No data (goals are not established or results are not measured) could be an element of a finding.
Finding must stand on its own, so that a reader with no background on the subject can understand the issue.
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CRITERIA: What should be…as stated in agency policies, procedures, contracts, best practices, laws, national standards, etc.?
CONDITION: What is the problem…what was observed?
CAUSE: What is the root cause of the condition cited above?
EFFECT: What is the actual or potential consequence of the condition…as it varies from the criteria?
RECOMMENDATION(S): How can the problem be fixed to address the cause and eradicate the condition?
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Root Cause
• Root Causes (Two Forms) Systematic (widespread and is a pattern) Local (affects one unit)
• Root Cause Analysis Model Don’t Know: Not aware, not trained Can’t Comply: No resources, don’t know how,
impossible task to accomplish Won’t Comply: No reward, No penalty, Disagree
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Practical Exercise
• You are lead inspector for an inspection of the organization’s employee separation process to evaluate its compliance and effectiveness.
• Break up in working groups and: Identify elements of a finding in the following scenario.
(See Handout)
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Practical Exercise
While still in your groups, develop one or two brief summary finding statements/sentences.
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Inspection/Evaluation designed to answer an objective(s) – even if positive.
Builds agency credibility – will report what is found.
Only needs criteria and condition (not effect, cause, or recommendation).
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Recommendations must identify clearly and concisely what the IG recommends that a particular individual or staff agency should
do to correct the problem (cause).
The recommendation must tag a specific individual or staff
agency.
The recommendation should be specific, realistic,
reasonable, achievable, measurable, and timely.
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Practical Exercise
While still in your groups, develop one or two brief summary recommendations from the scenario finding.
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Inspection/Evaluation Execution: Part IV
Provide the entity’s leaders with a written
and/or verbal out-briefing/exit conference.
Inform the unit or staff agency’s leaders of the findings and
recommendations.
(these may be tentative)
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• One of the final steps that should be conducted in the performance of an inspection is an “exit conference.”
• The purpose of the exit conference is to communicate the inspection results to management.
• Obtain management's comments on proposed findings and recommendations before the draft inspection report is issued.
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