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#805168 - 08/29/07 07:11 PM Responses from Business Units
tickledpink Offline
Junior Member
Joined: Feb 2006
Posts: 37
Just wondering if someone could share any experiences to the following.

After I complete my fieldwork of a unit I send out an audit finding for management to respond. These findings may or may not make it into the report depending on the response. The problem is I give the unit a timeframe in which to respond, some adhere and usually some go beyond the date delaying the final report, etc...I'm trying to arrive at a consequence for their tardiness without being too petty.

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#805182 - 08/29/07 07:26 PM Re: Responses from Business Units tickledpink
A_G Offline
10K Club
Joined: Jul 2004
Posts: 18,957
CC the auditee's supervisor and CEO when you send for responses (I even CC the audit committee chairman). Then all those people know when responses are expected too...and the auditee may be a bit faster knowing his or her boss knows when responses are due. If you don't get them on the due date, send out a reminder (CC'ing all the same people). Eventually the auditee will get the hint. Keep all this in a file for examiners so you can prove that you are not the cause of holding up the audit schedule.

Or take the tardiness into account when you rate the audits.
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#805196 - 08/29/07 07:38 PM Re: Responses from Business Units A_G
tickledpink Offline
Junior Member
Joined: Feb 2006
Posts: 37
Thank you

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#808142 - 09/04/07 01:27 PM Re: Responses from Business Units tickledpink
Cornfed Turtle Offline
Diamond Poster
Joined: Mar 2006
Posts: 1,323
"...Somewhere in Middle Americ...
For each month's audit committee, I started reviewing a one page spreadsheet. Down the left are all of the audits to be completed and across the top are fieldwork, report, responses and expected completion date.

This has worked well for me this year. Only once has the audit committee had to ask a dept head what the holdup was. Word got around and I have had incredible turnaround ever since.

And, like was just said above, it lets the committee and the examiners know that I have finished fieldwork. (Never hurts to cover your own.)

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#808183 - 09/04/07 02:15 PM Re: Responses from Business Units Cornfed Turtle
tickledpink Offline
Junior Member
Joined: Feb 2006
Posts: 37
Sounds like a good CYA. I appreciate your input.

Thanks

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