Consolidated Audit Program (DOECAP)

DOE Analytical Services Program (ASP)

DOECAP History

Consolidated annual audits of participating government owned contractor operated (GOCO) analytical laboratories; commercial environmental analytical laboratories; and commercial waste treatment, storage, and disposal facilities (TSDFs) are conducted under the DOECAP. This auditing approach eliminates redundant audits of laboratories and TSDFs otherwise conducted by individual DOE field element sites. Benefits derived include reduced Department/taxpayer cost and minimized disruption of work activities at the audited laboratories and TSDFs.

In the mid-1990s, the DOE Office of the Inspector General and the General Accounting Office issued reports citing inefficiency, redundancy and ineffectiveness regarding audits conducted by the Department of GOCO and commercial analytical laboratories. The reports were critical of using funds for individual DOE field elements to perform redundant audits of the same laboratories, employing disparate audit protocol and criteria, and not sharing lessons learned throughout the DOE Complex.

In response, the Office of Environmental Management at DOE Headquarters (HQ-EM) mandated implementation of a consolidated, uniform audit program for conducting annual audits of GOCO and commercial laboratories with the following goals and objectives:

• Eliminate audit redundancy by involving all DOE program line organizations and field elements
• Provide a pool of trained auditors sufficient to support consolidated audits
• Standardize terms and conditions of existing and proposed contracts to allow acceptance of consolidated audit results
• Interface with state and Federal regulatory agencies, as well as other industry standard-setting groups, such as The National Environmental Laboratory Accreditation Conference

The DOECAP continues to meet that mandate broadening its scope to include all program line organizations through:

• Consolidated audit planning, scheduling, and coordination achieving cost savings for the Department and taxpayers, as well as minimizing impact to contractor laboratories and commercial waste treatment, storage and disposal facilities (TSDFs)
• Development and maintenance of standard audit procedures, including standardized audit reports
• Share the results of audits throughout the DOE Complex through annual reports, annual workshops, weekly conference calls and an electronic data system dedicated to the consolidated audit program.
• Development of standard qualification requirements for audit team leaders and members, and establishment of a qualified auditor pool from across the complex to support audits of both laboratories and TSDFs
• Coordination and centralized tracking of corrective actions and closure of audit findings and observations
• Establishment of a cadre of DOE and contractor points-of-contact (POCs) from across the complex, with bi-weekly teleconferences to update POCs and auditors of program-related activities
• Establishment and maintenance of the Electronic Data System (EDS) to share information
• Interface with state and Federal regulatory agencies, as well as other industry standard-setting groups, such as the National Environmental Laboratory Accreditation Conference (NELAC)

DOECAP ownership rests within the Office Health, Safety and Security (HSS). A Federal Analytical Services Program (ASP) manager located in Germantown, Maryland provides overall policy direction, guidance, funding, and DOECAP complex-wide leadership. A manager from the DOE Oak Ridge Operations Office (ORO), Office of the Assistant Manager for EH&S, provides Federal oversight of the contractor DOECAP operations team (DOECAP Operations Team), also located in Oak Ridge, Tennessee. The DOECAP Operations Team is responsible for program administration and implementation from audit scheduling and coordination through closure of corrective actions.