2009-01-AU Follow-up Review of the 2006 Audit of the Department of Environmental Management's Recycling and Diversion Grants Program

Home

RECOMMENDATIONS - GENERAL FINDINGS • Consult with other County departments and State agencies to establish "best practices" in order to minimize its risk and exposure to governmental sanctions and civil liabilities. DEM Response This recommendation should be pursued by Finance Department as it will affect all County Departments, not just DEM. LAO Follow -Up While overall risk management includes components outside of the department's purview, DEM should devise a mechanism to incorporate "best practices" as they relate to the solid waste management industry. • Immediately transmit any and all communications received from governmental agencies regarding possible regulatory violations or sanctions to the Mayor, Managing Director, Finance Director, Corporation Counsel, and County Council. DEM Response Please refer to the letter from former Director Barbara Bell, dated July 10, 2006 on page 7- Risk Management. LAO Follow -Up It appears that DEM has implemented a procedure for timely communication and tracking of responses to governmental regulatory notices when DEM is the permittee or co- permittee. • Develop formal written policies and procedures for general departmental administration as well as individual program management, including, but not limited to: o A file management system for departmental and contractor documents, reports, plans, and other related information to ensure that program files are current and complete. DEM Response DEM developed a formal contract policy effective 811106 (Refer to Attachment "A" Contract Policy) in response the audit recommendation: The purpose was to provide better tracking of contract history, negotiations, or discussion, on issues that are unexpected, and to document discretionary decisions instituting written policies and procedures for all contract files. It states that two (2) contract tiles are to be maintained; one is a "program file" maintained by the section responsible for managing the program and the second is a "contract tile" to be maintained by the Business Services Section. The Solid Waste operations and its sections are located in a separate location than the DEM Administration and Business Services Section and the files are physically located with the respective group. The program tiles for Greenwaste, Diversion Programs, Recycling Education and Beverage Container Program are maintained by the Department's Recycling Section. The program files for Scrap Metal and Tires are maintained by the Department's Abandoned Vehicle Program Staff. The Department of Health (DOH) Solid Waste Permits and any correspondence with DOH (where the County is co- permittee) are tiled in the program file and a copy in the files for each Solid Waste Facility maintained in the Solid Waste Division Chiefs Office. Many of the Transfer Stations have