ATTACHMENT C NFR LOGISTICS - 10-2-2019.docx
DOCX document 13 KB Posted
- Attached to
- HUD OIG Audit Assistance for Ginnie Mae
- Solicitation number
- 86612720R00001
About this file
This document outlines requirements for a Notice of Finding and Recommendation (NFR) process related to an audit assistance contract opportunity with the Department of Housing and Urban Development Office of Inspector General. The NFR is to document any deficiencies detected during testing, including conditions, criteria applied, error effects, basic causes, and recommended corrective actions. It requires submission to supervisors and managers for review within five business days, then to the Contracting Officer's Representative for additional review and comments tracked in the document. The Independent Public Accountant is to consider comments and issue the final NFR to the Ginnie Mae liaison and COR. Coordination may also be required with the OIG Information Systems Division or other applicable offices. Informal discussion is preferred to expedite timely NFR issuance among auditors and respondents.
The related federal contract opportunity is an audit assistance solicitation from the HUD OIG to conduct the annual financial statement audit of HUD and its component, Ginnie Mae, as the principal auditor. The audit is required by law to be completed by mid-November each year to comply with the Chief Financial Officers Act.
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Text version
ATTACHMENT C
NFR PREPARATION (Logistics)
Why - To document deficiencies when detected while the data or conditions are still fresh in your mind.
What - Concisely describe the (a) conditions detected, (b) criteria applied during your tests, (c) effects of the errors on the population tested, (d) basic (rather than the superficial) causes or why did the errors happen, and (e) recommendation(s) to the appropriate management organization level to correct the control deficiency.
Review Process – First submit to your immediate supervisor (Senior) and then to the Audit Manager. The goal is to complete this process within five business days before sending it to the OIG COR in electronic form for review. COR review comments (tracked changes) should also be completed within 5 workdays. After considering or discussing the comments, the IPA issues the NFR to the Ginnie Mae audit liaison for review and comment with a copy to the COR. The NFR form should specify a review time for program or financial officials to respond.
Coordination - When appropriate, the COR coordinates a response with the OIG’s Information Systems (IS) Division and any applicable office working on an audit of the program area involved. Some matters may require coordinating with the GAO or Office of Management and Budget (OMB).
Communications - It is preferable to discuss differences informally, to expedite the issuance of timely NFRs. This applies to communications among auditors as well as with NFR respondents timely NFRs. This applies to communications among auditors as well as with NFR respondents.
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