Participant Handbook

APPENDIX Tab H – Internal Audit Function

2021-22 Project Schedule and Milestones

• audit fieldwork occurs as other tasks are being ramped up

RandomCEvalidation Reportdesignation developmentand reviewprocess • March

Provide input to reviewteam;

Selectrandom feedbackgroupand issueparticipant

Reviewwaiver requestsand decisions; impartiality issues;appeals process • July

ECPstaffcompletes controlself- assessment report • January

biweeklyconference callstodiscuss review progress;address additionaldocument requests, ifany • August

survey • June

Reviewteammeeting in TBD;review input;select

Reportwriterdraftsreport • December-January

CertificationCommittee identifiesappropriate corrective/preventive actions;ECPadministrator developsschedule for implementation • January-September

Presentfinal reportto CertificationCommittee1Q Meeting • January

reportwriter • December

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Risk Management Plan

Risk

Probability Impact

Owner

Mitigation Plan

Feedback loop is not yet available in the new application Implementing corrective actions may be subordinate to routine tasks

Select survey tool to capture feedback outside of Appian platform Realistic implementation plan; targeted preventive actions

Project Manager/IT

High

High

Project Manager

Low

High

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