Auditor Feedback Results Joe Pardue Operations Team Lead and Laboratory Lead DOECAP Operations Team ASP Workshop 2016 September 20, 2016

Auditor Feedback The auditor, lead auditor, and the auditor in training evaluations forms were included in the pre-audit information Although instructions were provided to the auditors, some auditors did not submit the evaluations

Use of the Data The information is maintained as confidential and is not shared. The results are used to provide ongoing self- evaluation of the auditors, lead auditors, and the audit process. The goal is to provide information that will enable DOECAP to improve the audit process and the auditors’ performance.

Overall Results for FY 2016 Overall, the results demonstrate that the auditors and the lead auditors are competent The primary negative result was dissatisfaction with the pre-audit information Every attempt was made to receive the pre-audit audit information in sufficient time for the auditors to prepare

Overall Results for FY 2016 A statistical average of the individual metrics is maintained by Rhonda Jobe for the laboratory and TSDF audits Looking forward to FY 2017, the Operations Team recommends that auditors and team leads complete the evaluation forms and to provide any comments that would be helpful in improving the DOECAP auits

FY16 DOECAP Laboratory Auditor Evaluations

FY16 DOECAP TSDF Auditor Evaluations

Request for Preaudit Information The Operations Team sends the request for the preaudit information five to six weeks before the audit date. Is the responsibility of each auditor to review the preaudit material and to request additional procedures and other information, if needed.

Request for Pre-audit Information We are including a statement in the executive summary if the pre-audit information was not received in sufficient time for the auditors to prepare for the audit

SharePoint and FTP Site There has been an improvement in auditors having access to the SharePoint and FTP sites

Auditor Feedback Session