ML20202B883
ML20202B883 | |
Person / Time | |
---|---|
Issue date: | 01/29/1998 |
From: | NRC OFFICE OF THE INSPECTOR GENERAL (OIG) |
To: | |
Shared Package | |
ML20202B877 | List: |
References | |
NUDOCS 9802120117 | |
Download: ML20202B883 (17) | |
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OFFICE OF THE INSPECTOR GENERAL U.S. NUCLEAR REGULATORY COMMISSION OPPORTUNITIES FOR SAVINGS AVAILABLE IN INFORMATION MANAGEMENT ACTIVITIES OlG/97A-22 January 29,1998 , AUDIT REPORT ug l lp>s nea s 4 [ O
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T~ L Opportunities for Savings Available in Information Management Activities r L REPORT SYNCPSIS E in support olits mission, the U.S. Nuclear Regulatcry Commission (NRC) performs substantial and diverse administrative and information management activities. [ These activities range from mail operations to World Wide Web management services and account for almost $60 million, or 12 percent of NRC's annual budget. The purpose of our :eview was to assess the A ency, effectiveness, and ( economy of operations of selected support functions. Our review showed that the electronic age has changed the way NRC's Public [ Document Room (PDR) Interacts with the public. Based on this and other factors, we believe that conditions are favorable and savings could be realized by relocating the PDR to unoccupied space in NRC Headquarters or taking other action to reduce [- its operating costs. Leased space for the PDR currently costs $186,000 annually. { We also found that additional savings could be realized by (1) maintaining accurate and current mailing lists for over one-half million documents NRC distributes annually and (2) disposing of excess publications held in offsite storage. Our report { makes three recommendations to address the issues identified. [ [ [ OtG/97A-22 Pagel A
r i L Opportunities for Savings Available in Information Management Activities I L TABLE OF CONTENTS ( R EPORT S YNOPSI S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .i [- I NTR O DU CTI ON . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 (-- BACKGROUND ... .............................. .. ......1 FI N D I N G S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1 OPPORTUNITIES EXIST TO REDUCE THE OPERATING CO STS O F THE PD R . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2 NRC NOT EFFECTIVELY MAINTAINING MAILING LISTS , . . . , . . . . . . . ..... 4 NRC NOT EFFECTIVELY DISPOSING OF EXCESS PUBLICATIONS - . . . . . . . . ... ... .... .. . ... ...... .5 CONCLUSION . . . . . . . . . . . . . .............. ..... .. .. .. .6 {- REC OM M E N DATION S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 AGENCY COMMENTS . . . . . . . ..................... ... ......6 [ APPENDICES [ l Objectives, Scope, And Methodology [- II Agency Comments lil Maior Contributors To This Report IV Glossary: Office of the inspector General Products { { oicmA-22 [ [.. .
l Opportunities for Savings Available in Information Management Activities I INTRODUCTIOt.' The U.S. Nuclear Regulatory Commission (NRC) carries out a wide variety of administrative and information management ac'o .ities in support of its mission of protecting public health and safety, promoting the common defense and security, and protecting the environment. These support activities include significant expenditures for NRC's human and financial resources. The purpose of our review was to evaluate the efficiency, effectiveness, and economy of selected I administrative and information management operations. Appendix l of this report contains additional information on our objectives, scope, and methodology. BACKGROUND Within NRC's Management and Support Program, administrative and information management activities account for 12 percent or almost $60 million of the agency's total fiscal year (FY) 1998 budget estimate. Activities generated from more than 50 functions ond 6 NRC offices are diverse and range from mail operations to World Wide Web management services. The Office of Administration (ADM)is responsible for most cdministrative activities, including warehouse operations, property and facilities management ransportation, I contracting, audiovisual support, and security. These adminstrative i activities account for about $44 million, including $9 million in salaries and benefits for 124 full-time equivalent (FTE) staff. However, the Office of the Chief Information Officer (OClO) is responsible for most information management activities, including the Public Document Room (PDR),
'I records management, Freedom of Information Act services, library services, publications, copying, graphics, and distribution. Information management activr' a account for about $16 million, including $7 million in salaries and benefits for 91 FTEs.
FINDINGS We found three areas that need management attention to reduce costs: the operation of NRC's PDR, the accuracy of the agency's mailing and distribution lists, and the inventory levels of publications held in storage. Based on our - ow,we believe significant savings are available by moving the PDR from r. aresent location in Washington, D.C., to NRC Headquarters in Rockville, Maryland, or through actions to reduce future operating costs. For example, current annuallecse OlG/97A 22 Page 1
I Opportunities for Savings Ava lable in information Management Activities costs for the PDR are $186,000, Because of NRC's use of the Internet and other electronic advances, the PDR's present location is no longer a major factor in providing public accessability to NRC documents. We also found that NRC could reduce distribution costs by maintaining accurate and up-to-date mailing lists fnr over one-half million documents it mails annually. Finally, storage costs could be reduced by disposing of excess publications according to estsblished agency procedures. OPPORTUNITIES EXIST TO REDUCE THE OPERATING COSTS OF THE PDR For more than 20 years, NRC's PDR has been located in Washington, D.C. to provide the public with easy access to agency records, in 1994, when NRC consolidated its headquarters in Rockville, Maryland, the PDR remained in Washington, D.C. The reason given for not including the PDR in the consolidation was to assure a better level of public accessibility. Currently, any member of the public may visit the PDR and access more than two million NRC documents in hard copy and electronic formats. However, the public now generally prefers to access NRC information from their homes or offices. NRC's PDR has provided that accessibility; in fact, the vast majority of documents are not obtained by visiting the PDR but rather are requested by letter, telephone, or computer. Tc fulfill its mission of facilitating acce,3s to NRC publicly available documents and related sources of nuclear information, the PDR is staffed with approximately 11 FTEs and accommodates fibs, microfiche, computers, a copy center, and reading rooms. The PDR occupies approximately 10,000 square feet of space, which is g leased from the General Service Administration (GSA) for approximately $186,000 E a year. NRC can terminate its lease with GSA at any time with a 120-day notice. The PDR maintains a collection of more than two million publicly released documents related to contracts, NRC licensing proceedings, rulemaking activities, and the setting of nuclear regulatory policy. In addition to making these documents available to the public, the PDR supports electronic access to tbm documents. Various electronic systems, including an online search and 9trieval capability, can be accessed from anywhere in this country or overseas. From January through August 1997, the PDR received an average of about 1,260 requests for information a month; approximately 250 of these requests originated from walk-in customers. However,98 percent of the approximately 29,000 items requested was through means other than on-site visits. The majority >f the PDR's g customers request information by Intemet, facsimile, letter, or telephone. The PDR g also utilizes the Internet to increase public accessability to such items as Commission meeting announcements and recently issued NRC documents. otG/97A 22 page 2
I I Opportunities for Savings Available in Inforrnation Management Activities I In 1991, the Commission considered co-locating the PDR with its headquarters operation. At that time, the sense of the Commission was that the PDR would be more accessible to the general public if located in Washington, D.C. The I Commission also said that this position would be reviewed when NRC allocated space in its consclidation"). Public accessibility, however, is no longer solely defined by geographical location. As stated above, the majority of the PDR's I customers request information by means other than visiting the PDR. In addition, the agency is presently renovating and realocating space in one of its two headquarters buildings. When this project is completed, NRC expects that at least a portion of one floor will be unoccupied. We discussed the potential of moving the PDR to NRC Headquarters with officials in ADM and the OClO. ADM is responsible for facilities management, and OClO manages the PDR as a function of its information management services. Both I offices have given the matter some censioeration and have expressed interest in moving the PDR at some ' point in the future. OClO officials believe that their planned Agency Document Access and Management System (ADAMS) may reduce 7 I the physical space required for the PDR if some agency documents are converted to electronic format. ADAMS is scheduled for implementation in FY 2000. We agree that ADAMS can potentially lessen the physical space required to store I agency documents; however, we do not believe the agency should wait for ADAMS to consider the PDR relocation. We believe NRC may be able to reduce present , PDR space requirements by eliminating duplicate hard copy files and using official files that are already available at headquarters. For example, as of October 1997, the PDR maintained 14,000 contract documents that duplicate NRC Headquarters contract files. I OClO officials have expressed some concerns about immediately !niticting a relocation project when the agency has committed its facilities management staff to other renovation / reallocation activities through FY 2000. However, when we discussed this matter with ADM officials, we were told that they could prepare and handle a PDR relocation within their current renovation / reallocation workload. The Chief Information Officer (ClO) indicated that he is considering phasing out the PDR through a transition from a primarily paper-based operation to total electronic public access. Given the cost of leasing the Washington, D C. location and the minimal number of I customers currently using the PDR on a walk-in baris, we believe the agency should take action now to reduce the costs of operating the PDR. These actions could include relocating the PDR to NRC Headquarters or other modemizing / streamlining actions, such as moving to an all electronic service. In 1994, NRC completed its Headquarters consolidation in Rockville, Maryland. __ ..s. ,
.- .~. . . . . -
Opportunities for Savings Available in Information Management Activities _. NRC NOT EFFECTIVELY MAINTAINING MAILING LISTS To eliminate unnecessary distribution and document costs, the U.S. Congress, Joint Committee on Printing, requires independent agencies, including NRC, to annually l revise their mailing lists, in addition, Management Directive (MD) 3.6 (Manual Chapter 3203), Distribution of Unclassified NRC Staff and Contractor-Generated Reports, dated August 28,1987, contains detailed distribution requirements. One of those requiremerf.s is to conduct 'an annual audit of those addresses maintained g on the NRC Mailing List." However, we found that NRC has not conducted such an E audit since 1992 because of office reorganizations. And, as discussed later, we believe there is a high probability that many documents are being sent to inappropriate addressees or to addressees who no longer desire to receive the documents. The OClO's Printing, Graphics and Distribution Branch (PGDB)is responsible for providing initial distribution, including labeling and mailing, to NRC staff, licensees, other Government agencies, and interested parties, for a wide variety of NRC-generated publications and documents. In rY 1996, PGDB distributed 520,000 documents. The OClO's automated mailing list contains about 10,400 addressees.m in addition, the OClO maintains another distribution database that Hentifies, by code number, the various publications and groups and specific NRC staff responsible for determining recipients. For example, the Office of Nuclear l Regulatory Research designates that 211 copies of NUREG-0713W are to be I distributed to 160 internal and external addressees under code number *NR." At the end of August 1997, there were 186 codes that covered the various publications and distribution groups, in 1992, NRC's staff conducted a survey of allindividuals on its mailing lists. The g agency also conducted a survey of all NRC codes to decide whether indicated E distributions were still appropriate. As a result of these surveys, NRC eliminated 5,188 addressees from the mailing database and six codes from the distribution l database. Since 1992, NRC has not conducted an annual survey of its addressees as required by the Joint Committee on Printing and MD 3.6 and has conducted only limited surveys of its distribution codes. The agency performed the last distribution l code survey in February 1997 but covered only 87 of 186 codes. 2 Another 6,500 material licensee addresses are controlled by the Office of Nuclear Material Safety and Safeguards. ' Occupational Radiation Exposure at Commercial Nuclear Power Reactors and Other Facilities. g OlG/97A-22 gi Page 4 ? . _ - _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ - - .
i I I Opportunities for Savings Available in information Management Activities I NRC staff cited intemal reorganizations (within ADM and the OClO) as the primary impediment for surveys not being conducted. Notwithstanding the Joint Committee on Printing and NRC requirements for updating mailing lists, the results of the I agency's 1992 surveys indicate that there is good potential for reducing the number of publications being printed, mailed, or intemally distributed. I NRC NOT EFFECTIVELY DISPOSING OF EXCESS PUBLICATIONS Our review found that NRC does not validate its inventory of publications and dispose of excess items regularly. As a result, the agency is likely paying storage fees on publications that are no longer needed. NRC staff cited internal reorganizations as the primary impediment for inventory levels not being properly adjusted, By adjusting inventory levels, NRC could avoid Govemment Printing Office (GPO) storage fees on publications that are no ionger needed. The OCIO's PGDB is also responsible for n,anaging the agency's publication I inventory. Under an interagency agreement, GPO not only prints NRC formal publications, such as NUREGs, Regulatory Guides, and MDs, it also stores additional copies for subsequent use by NRC staff. As of August 8,1997, NRC publications in GPO storage totaled 484,133 copies related to 2,445 original titles. NRC currently pays about $5,000 monthly for storage. These charges vary directly in proportion to the number of actual bins and pallets used to store publications. NRC MD 3.24 (Manual Chapter 3208), Publication Inventory Management, dated August 28,1987, requires an annual validation of its holdings and disposal of excess publications according to an established schedule. Based on our discussions with agency staff, no physical inventory of NRC documents in GPO storage has been taken for about seven years. Furthermore, although NRC has performed some disposal analysis, we found it has taken no actions for at least two years and levels appear unnecessarily high. As an example, I 1,579 copies of NUREG-1355W, dated March 1989, remain on hand as of August 1997 despite an NRC disposal report in March 1995 and a recommendation to dispose of 1,439 copies. ' Another example is that 1,509 copies of NUREG/BR-I 0187W, dated December 1993, remain en hand despite an NRC. disposal report in December 1996 and a recommendation to dispose of 1,506 copies. By disposing I 4 The Status of Recommendations of the President's Commission on the Accident at Three Mile Island. 8 NRC Computer Systems Users Guide, olG/97A 22 Page 5 I l
I Opportunities for Savings Available in Information Management Activities of excess publications, NRC could realize a corresponding reduction in bin and pallet storage costs. For example, $2,400 a month could be saved by reducing the number of documents and resulting storage bins and pallets by 50 percent. I CONCLUSION We believe there is the potential for NRC to achieve significant savings i.) three areas. We found that opportunities exist to significantly reduce the operating costs of the PDR. Alhough modernizing PDR operations is under consideration, the agency has no near term plans to initiate such actions or relocate the PDR. We B also believe that savings could be realized if NRC effectively managed the mailing g lists for its documents and disposed of excess publications. It is our opinion that managen ent attention in these support areas is needed to conservo and better manage the agency's scarce resources. RECOMMENDATIONS To achieve savings and improved effectiveness of key information management activities, we recommend that the OClO:
- 1. Take immediate steps to reduce operating costs of its PDR while continuing to provide efficient and effective public accessibility to NRC information.
- 2. Perform surveys, on a regular basis, of mailing list addressees and NRC distribution codes and adjust distributions accordingly.
8 3. Dispose of excess publications held in GPO's storage on a regular basis. I AGENCY COMMENTS In his January 13,1998 memorandum, the ClO responded to our draft report recommendations and outlined planned actions to address them. In a subsequent a meeting requested by OlG, OClO's Director, Information Management Division (IMD), explained that, although all actions under consideration will not be completed l until December 1999, some steps are being taken immediately. For example, a benefit-cost analysis on attematives for pioviding public access to the PDR's historical records is already underway. This step includes examining PDR record holdings and usage and will provide options for document storage as well as olo/97A-22 Page 6 I
W [- Oppor. unities for Savings Available in Information Management Activities I L opportunities to reduce PDR lease costs. The Director, IMD, later told OlG that the benefit-cost analysis will be completed by July 1998 and that measures to reduce { the PDR's operating costs will be taken as appropriate. The CIO also raised two PDR-related issues that we need to address. First, his [ comment that ADM cannot make space available for even a radically scaled down I ' version of the PDR until restack is completed in March 2000, does not fairly reflect inf.amation provided to OlG by ADM during our audit. Rather, ADM offir,ials told
,, OlG that they prefer to wait until after the restack effort is complete, but believe that I, with sufficient planning and lead time, an earlier PDR relocation could be accommodated if requested by 0C10. Second, relative to the use of official files, OlG never intended that the public should have access to NRC's official files and agrees that extensive use of these files to provide information to the public is impractical. However, OClO may want to cons; der copying official files for documents requested infrequently by the public rather than maintaining duplicate files.
I Finally, in his response to our recommendation to dispose of excess publications, the CIO int icated that the best way to reduce costs is to re-engineer and streamline work processes. This would include continuing to convert frequentiy-requested q' publications to electronic form and b inging inventory services in-house by the end J of FY 1998. While these steps may lead to long-term benefits, we still believe, in I the interim, NRC could reduce costs by reviewing the current inventory held in GPO storage and promptly disposing of excess publications. We plan to monitor the agency's actions and progress toward implementing our recommendations. olG/97A-22 Page 7
W r-L Appendix 1 g Opponanities for Savings Available in Information Management Activities L OBJECTIVES, SCOPE, AND METHODOLOGY E-L .. The objective of our review was to enluate the efficiency, effecuveness, and {- economy of U.S. Nuclear Regulatory Commission's (NRC) administrative activities. Our review also covered selected information management functions. { Our review focused on selected functions performed primarily by the Office of Administration (ADM) and the Office of the Chief Information Officer (OClO). Those functions included (1) refurbishment and alterations performed by ADM and (2) [ copying, Public Document Room (PDR), Government Printing Office, commercial printing, graphics, document distribution, and publication inventory services performed by OClO. To accomplish our objective, we reviewed policies, procedures, monthly status p reports, budgets, and other information related to the Chief Information Officer and L Administration Activities within NRC s Resource and Administration Cost Center. We interviewed key NRC personnel f'om OClO and ADM and obtained budget data {- from staff in the Office of the Chief Financial Officer. Our review included two visits to NRC's PDR in Washington, D.C. { We reviewed NRC's management controls for selected admir.istrative and information management functions. Our work was conducted from July through October 1997 at NRC Headquarters in Rockville, Maryland, and at the PDR it. [ Washington, D.C. We performed our review according to generally accepted Govemment auditing standards. [ [ [ [ [ OlG/97A 22 Page 1 of 1
Appendix il Opportunities for Savings Availtbla in information Manaprnent Activities p* *80,g L y- 2t UNITED STATES l ! j NUCLEAR REGULATORY COMMISSION WASHINGTON, D.c. 20bSho301 "o f
%1 ***** ./ January 13, 1998 MEMORANDUM TO: Thomas J. Barchi Assistant inspector General for Audits Office of the ins etpr General V
FROM: A. J. Galante Chief inform cer
SUBJECT:
COMMENTS ON DRAFT AUDIT REPORT I The following are my comments with regard to OlG's draft audit report entitled " Opportunities for Savings Available in Information Management Activities". Recommendation 1: Take immediate steps to significantly reduce the operating coste of the PDR while continu;ng to provide efficient and effective public accessibility to NRC information. This could include relocating the PDR to NRC Headquarters or other modemizing/ streamlining actions, cuch as moving to an all electronic service. Resoonse: I OClO agrees that the agency may be able to reduce the operating costs of the PDR by adopting changes in the manner in which the PDR provides services to the pubhc for access to historical and new documents made publicly available. However, there are a number of factors requiring analysis, input by those affected, and policy consideration by the Commission which make it inadvisable to take immediate action. These include: (1) conducting a benefit-cost analysis on options to provide public access (viewing and copying) to the 2 million plus historical documents occupying about 4,100 square feet in the PDR, plus off-site storage; (2) given developments or I technology and the implementation of ADAMS, developing an updated agency strategy for making information available to users of the PDR and LPDRs; (3) in light of NRC's desire tc improve public communication, inviting public comment / input on substantive changes in the PDR/LPDR programs and associated agency information dissemination products; and, (4) preparing an options paper on re-locating the PDR using underlying assumptions from the preceding tasks. This work will carefully examine ways to streamline and modemize the PDR's I operations while providing efficient and effective public accessibility to NRC information. However, it will not consider as one of its options.OlG's suggestion that the public be serviced using the agency's officia! files, because the official files of the agency must be preserved for archival, programmatic, and litigation purposes. With regard to re-h;ating the PDR, from a practical standpoint the Office of Administ ation advises us that no space can be made available for even a radically scaled down version of the PDR at the White Flint complex until restack is completed in March 2000. By that time, OClO will have conduc1 : the previously mentioned analyses, determined the space and operational requirements of the PDR, addressed any policy issues pertaining to changes in the PDR's operations and services, received Commission guidance on locating the PDR, and be positioned to take advantage of suitable space in Headquarters if it is available, otomA-22 Page 1 of 2
Append,x 11 Opportunities for S~vings AV-ilable in Information M*nagement Activit"s 1 Ccmoletion Date: The completion date for the four activities referred to in paragraph one of OClO's response is December 1999. 82 commendation 2: Perform surveys, on a regular basis, of mailing list addressees and NRC distribution codes and adjust distribution accordingly. l Epsoonse: OClO agrees that distribution lists should be updated regularly. The activity should be accomplished by continually updating NRC's maillist based on feedback from a variety of sources and by periodically conducting surveys of its distribution codes and of individuals on its mailing list. The audit report focused solely on the need for a periodic survey and did not recognize thr' the mailing list has been continually updated by processing fecoack from staff in charge of specific iists, by deleting addressees when USPS retums mail as ' undeliverable', and by updating addresses as notified through changes in NRC's Regulatory inf.ormation Distribution System g (RIDS) and other correspondence. The latter resulted in over 2,500 changes to NRC's mailing g list in FY 97. The audit report also states that the agency performed the last distribution code survey in February 1997 but covered only 87 of 186 codes. The report did not mention that in October 1996, the Printing, Graphics and Distribution Branch initiated a survey for NRC's senior management to reduce codes relating to the agency's periodical subscriptions. As a result,12 codes were modified. Also,75 of the 186 codes were not surveyed because they pertained to NRC positions (such as Executive Director for Operations) who are on an interna.1 distribution list for publications such as CFRs, management directives, and so on. The best way to reduce 3 costs in this area is through OClO's current initiative to replace many of these hard copy E publications witn electronic availability to all employees via the Web. With regard to OlG's specific recommendation, CCIO will conduct the next annual survey of recipients of our puHications in February 1998. After ascertaining recipients' needs or interests in receiving NRC publications, we will adjust distribution according to the response to the survey. Comoletion Date: April 1,1998 Recommendation 3: Dispose of excess publications held in GPO's storage on a regular basis. Egiponse . OClO's agrees that NRC should not pay to maintain excess hard copy publications in GPO's warehouse that are not needed. However, the best way to reduce costs in this area is to re- g enginear and streamline work processes related to publication inventory management. E Accordingly, we will continue to convert frequently requested publications to electronic form, and, by the end of FY 98, bring allinventory management services in-house rather than funding g these services through GPO. Staff requeats for copies of publications after initial distribution will E be fulfilled by utilizing in-house on-demand printing equipment. Comoletion Date: September 30,1998 omA-22 Page 2 of 2
L I-L Appendix ill Opportunities for Savings Available in information Management Activities L [ MAJOR CONTRIPUTORS TO THIS REPORT E Corenthis B. Kelley Team Leader b George T. Pourcnot ( Audit Manager Judith L. Leonhardt Senior Auditor b [ [ [ b- [ [ [ E [ o.7 m ,.,, i r _ - _ - - --
Appendix IV Opportunities for Savings Avellable in mforrnation Management Activities GLOSSARY: OFFICE OF THE INSPECTOR GENERAL PRODUCTS INVESTIGATIVE
- 1. INVESTIGATIVE REPORT- WHITE COVER I
An investigative Report documents pertinent facts of a case and describes available evidence relevant to allegations against individuals, including aspects of an allegation .wt substantiated Investigative reports do not recommend disciplinary action against individual employees. I investigative reports are sensitive documents and contain information subject to the Privacy Act restrictions. Reporte ate given to officials and managers who have a need to know in order to properly determine whether administrative action is warranted. The agency is expected to advise the OlG within 90 db s of receiving the investigative report as to what disciplinary or ciher action has been taken in response to investigative report findings.
- 2. EVENTINQUIRY- GREEN COVER The Event inquiry is an investigative product that documents the examination of ev nts or sgency actions that do not focus specifically on individual misconduct. These reports identify institutional weaknesses that led to or allowed a problem to occur. The agency is requested to advise the I OlG of managerialinitiatives taken in response to issues identified in these reports but tracking its recommendations is not required.
3. I MANAGEMENT IMPLICAYlONS REPORT (MIR) - MEMORANDUM MIRs provide a " ROOT CAUSE" analysis sufficient for managers to facilitate correction of problems and to avoid similar issues in the future. Agency tracking of recommendations is not required. AUDIT
- 4. AUDIT REPORT- BLUE COVER An Audit Report is the documentation of the review, recommendations, and findings resulting from I an cbjective assessment of a program, function, or activity. Audits follow a defined procedure that allows for agency review and comment on draft audit reports. The audit results are also reported in the OlG's " Semiannual Report" to the Congress. Tracking of audit report recommendations and agency response is required.
sE E 5. SPECIAL EVALUATION REPORT- BURGUNDY COVER A Special Evaluation Report documents the results of short term, limited assessments. it I provides an initial, quick response to a question or issue, and data to determine whether an in-depth independent audit should be planned. Agency tracking of recommendations is not required. REGULATORY
- 6. REGULATOR Y COMMENTARY- BROWN COVER I Regulatory Commentary is the review of existing and proposed legislation, regulations, and policies so as to assi9t the agency in preventing and detecting fraud, waste, and abuse in programs and operations. Commentaries cite the IG Act as authority for the revictv, state the specific law, regulation or policy examined, pertinent background information considered and identifies OlG concems, observations, and objections. Significant observations regarding action or inaction by the agency are reported in the OlG Semiannual Report to Congress. Each report indicates whM:,er a response is required.
olG/97A 22 Page 1 of 1 I
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