Applicable Reports
Final OIG reports exclude these types of audits.
What are audits by DCAA, state/local Single Audit Act audits, and GAO reports?
Their main goal is to track recommendations through this stage.
What is closure/implementation?
The first thing to do when accessing PTS.
What is log in to PTS?
This office provides data for open audit recommendations.
What is DSD?
You prepare this if recommendations remain open after 36 months without change.
What is a whitepaper for OIG leadership?
This office issues reports covered by the SOP.
What is the Office of Audits, Inspections, and Evaluations (or Investigations for context)?
QMT RFT must notify this group in writing within 30 days of a management decision.
Who are component management officials?
You log these details for every report in your personal tab.
What are PTS number, report number, director, status, notes?
These two mailboxes distribute the monthly open recommendations list.
What are oig.auditcontrols@oig.dhs.gov and qmt.RecFollowUp@oig.dhs.gov?
This is required if agreement can’t be reached on corrective actions and dates.
What is an Elevation Memo?
True or False: The SOP applies to Single Audit Act reports.
What is False?
QMT RFT must monitor if corrective actions are implemented within this timeframe (unless otherwise agreed).
What is one year from final report issuance?
This must be updated with notes and attached correspondence for each report.
What is the Parent File?
Only these three fields are used from the DSD report when consolidating data.
What are report date, report title, and project status?
This system must be updated with closure documentation.
What is the PTS?
Reports by this external federal office are not subject to this SOP.
What is the Government Accountability Office (GAO)?
QMT RFT works with these liaisons to ensure recommendation closure.
Who are Departmental and Component Audit Liaisons?
This “assignment” method is used for distributing recommendations to RFT members.
What is First In, First Out (FIFO)?
When starting fresh, you use this function to check for differences between two lists.
What is the IF statement to flag mismatches?
This official is notified of closure when agreed actions are verified.
Who is the Component management official (and Departmental Audit Liaison)?
This document, alongside the SOP, defines closeout requirements.
What is DHS Directive 077-01?
Unresolved late responses may be elevated through this chain.
What is from Component management officials to Component heads then Resolution Official?
If a report remains open after 36 months, this must be recorded in PTS.
What is the whitepaper decision?
RFT stands for
What is “Recommendation Follow-up Team"
Upon closure, you must upload these three items to the parent file for each rec.
What are the closeout memo, required documentation, and notes/activity update?