1. US Army Corps of Engineers Engineer Research & Development Center Partnering Reduces Costs & Provides Consistency for Federal Auditing Programs Federal Environmental Symposium - East Donna J. Schell donna.j.schell@usace.army.mil

2. US Army Corps of Engineers Engineer Research & Development Center Compliance/Conformance Audit Basics All Federal Agencies are subject to the same environmental, health, safety, and EMS standards. Compliance/conformance with all of these standards is typically determined through an ongoing audit/assessment program where: –Noncompliance/nonconformance is identified –Steps to be taken toward compliance/conformance are identified –Monitoring is done of progress towards compliance/conformance –Program metrics are evaluated. Plan Do Act Check

3. US Army Corps of Engineers Engineer Research & Development Center IF  Agencies have similar functions AND  All must comply with the same requirements How can agencies share tools and reduce costs?

4. US Army Corps of Engineers Engineer Research & Development Center The “TEAM” Documents The question of sharing resources/partnering first arose in the early 1990s. DoD agencies were individually paying for environmental compliance audit manuals addressing the same sets of Federal and State regulations. In 1993 a meeting was held with representatives from DoD agencies and CERL personnel to explore the partnering idea.

5. US Army Corps of Engineers Engineer Research & Development Center First Steps in Partnering In 1994, the following jointly-funded environmental manuals/ checklists were issued: –U.S. TEAM Guide –State Supplements –Agency-Specific Supplements for agency-specific requirements The original partners were: –Active Army (AEC) –Army National Guard –Army Reserve –Air National Guard –Air Force –Corps of Engineers (Civil Works)

6. US Army Corps of Engineers Engineer Research & Development Center TEAM Partnering Today Army Env. Center Army National Guard Army Reserve Air National Guard Air Force Corps of Engineers (Civil Works) DLA Navy NASA DHS Fish and Wildlife Service Forest Service FAA Dept of Commerce Dept. of Energy USPS National Park Service (West Coast only) State Department Vet. Health Administration

7. US Army Corps of Engineers Engineer Research & Development Center OSHGuide - Beyond Environmental First OSHGuide was issued in 2002 –Based on 29 CFR 1910, 1926, 1904, and 1960 –Originally developed for the Air National Guard Current partners include: (NOTE: The Radiation Protection protocol is a part of OSHGuide and addresses 10 CFR 20, 31, 50.73, and 71.4) – –Air National Guard – –Air Force – –Dept. of Homeland Security – –FAA – –Forest Service – –State Dept – –Vet. Health Administration

8. US Army Corps of Engineers Engineer Research & Development Center CPTrack Another Partnering Opportunity A CERL-developed web-based tool used to: –Manage the audit/assessment process –Serve as a data repository Developed with the stipulation that future cost- sharing be considered The result is known today as the Compliance and Processes Tracking (CPTrack) system.

9. US Army Corps of Engineers Engineer Research & Development Center Id equipment, activities, permits, mission Conduct audit against standards Develop plan to achieve compliance Ensure compliance is maintained CPTrack Business ProcessPLAN DO ACT CHECK

10. US Army Corps of Engineers Engineer Research & Development Center Facility Survey Facility Survey Self Audit Self Audit Internal Audit Internal Audit Findings of Noncompliance Findings of Noncompliance Findings of Noncompliance Findings of Noncompliance Findings of Noncompliance Findings of Noncompliance External Audit External Audit Corrective Action Plan Corrective Action Plan CPTrack Master Business Process Red Border = Optional at Agency Discretion Green Border = Suggested Required Functions PLAN DO ACT CHECK DO

11. US Army Corps of Engineers Engineer Research & Development Center CPTrack Partnering CPTrack is a system based on the previously outlined business process –Module-based –Agencies can pick and choose modules Possible new functions presented to partners - the cost divided by those interested Unique functions or applications funded by specific agency Helpdesk costs divided among all partners

12. US Army Corps of Engineers Engineer Research & Development Center CPTrack Structure

13. US Army Corps of Engineers Engineer Research & Development Center

14. US Army Corps of Engineers Engineer Research & Development Center CPTrack Functionalities Within each part of the CPTrack Master Business Process (i.e. functionality), the partners individually choose the following options for their Department/Agency: –Who gets to see what and enter data? –Whether or not there will be a quality assurance process within the individual functionalities? –How the approval process will work to identify a functionality as done/complete? –What additional reports are desired in addition to those already developed? –Which questions from the Facility Survey do you not want to ask and what additional questions do you want to include in the Facility Survey?

15. US Army Corps of Engineers Engineer Research & Development Center CPTrack Outputs Audit/assessment reports Corrective Action Plan Data Roll ups from Facility Survey Baseline Aspects/Impacts List Tailored Internal Audit Checklist Graphs and charts displaying audit/operation/ corrective action status

16. US Army Corps of Engineers Engineer Research & Development Center CPTrack Costs New Partners do not pay for the prior development costs, only new development and helpdesk costs. There are no licensing costs. TEAM Guide, the State Supplements, OSHGuide, EMS, and the Radiation protocols are all available in CPTrack, but they will not be turned on, or even seen, unless the CPTrack partner is also a TEAM partner.

17. US Army Corps of Engineers Engineer Research & Development Center How To Become a Partner If your agency is not currently a partner in TEAM and/or CPTrack, they can become a partner with CERL via the following funding mechanisms – whichever works best for your agency/department: –DoD MIPRs –Civilian Federal Agencies Interagency Agreements (IAG) MOA/MOU Reimbursable Support Agreement (RSA) Funds transfer through a Corps District. Additional information is available in a handout at the CPTrack table.

18. US Army Corps of Engineers Engineer Research & Development Center Questions?