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DISCUSSIONS > IIA GENERAL DISCUSSION AREA [ REFRESH ]
Thread Title: Auditor feedback review
Created On Monday July 23, 2007 2:05 PM
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  Auditor feedback review
  Auditor feedback review


MaxGs


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Monday July 23, 2007 2:05 PM

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We currently do formal employee performance reviews annually and give adhoc verbal feedback throughout the year. We are thinking about implementing a standardized, but less formal review for each person after they have completed audits/reviews, which could then be used in the annual performance review. I am interested in what other Audit departments use for feedback to members after each audit/review. Are there already completed standard forms that we could use and/or build from? Our goal is to keep is simple, but give consistent value added feedback.

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planoisdaudit


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Monday July 23, 2007 2:22 PM

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Staff? You mean you have staff?

Seriously, it's been a long time since I had staff auditors, but when I did we did have an evaluation form to use to provide feedback. The form was used to substantiate annual performance reviews. From what I remember the salient points were:

+Audit was performed on time, or delays anticipated and reasonabily explained.
+Audit planning was performed in accordance with audit standards
+Audit entrance conference was performed and client questions/concerns were adequately addressed
+Audit work was conducted in accordance with appropriate auditing standards
+Audit work was summarized and summary cross-referenced to supporting evidence in the workpaper file
+Draft Audit Report was prepared in a timely manner
+Draft Audit Report was cross referenced to supporting evidence in the workpaper file
+Draft Audit Report was easily read in a single, rapid reading; and generally free of grammatical, usage, and mechanical errors
+Findings in Draft Audit Report were supported by sufficient, relevant, and reliable evidence
+Final Audit report contained minimal revisions, as identified by supervisory review
+Final Audit report contained management replies to all findings and recommendations
+Audit Client Feedback was constructive

(Crash I used bullets this time to avoid number sequence problems--- )

-------------------------
Dan
Integrity can be defined as your moral soundness. A test for integrity - Do your actions match your words?

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Tennessee Flash


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Monday July 23, 2007 3:07 PM

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Here is a client feedback questionnaire that we use to obtain feedback from our auditors work.

1. The audit purpose, objectives and scope were clearly communicated.
2. The duration of the audit from start to finish was appropriate.
3. My business concerns and perspective on key areas of the process were adequately considered.
4. Sufficient notification was provided by the auditors regarding work requests of myself or my staff.
5. The disruption of daily activities was minimized as much as possible during the audit.
6. Audit results were accurately reported and presented with a balanced point of view.
7. Audit recommendations were relevant and actionable.
8. The audit report was understandable and logically organized.
9. Auditors were knowledgeable and communicated effectively during the audit.
10. Auditors demonstrated courtesy, professionalism, and used a constructive approach in executing the audit.
11. Auditors demonstrated independence and objectivity in the performance of the audit.
12. I would ask Internal Audit for help in the future.
13. Overall, the audit “added value”

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Vince


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Monday June 03, 2013 3:29 AM

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Dear All,

Is it advisable to use Auditor's feedback on Auditee's support during the audit and set it as a part of Management / Auditee's Key Responsibility Areas (KRA)?

I was wondering if anyone has used the same in past or has ready questionnaire / template for reference.

Thanks,

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MatMat


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Thursday July 18, 2013 4:21 PM

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For the client to reply:
01) The report focussed on essential things, reporting was constructive, clear and objective
02) The findings in the report are reliable
03) The audit/consultation concentrated on the key risks of the process
04) The audit/consultation added my understanding of the process
05) The audit/consultation added my understanding of internal control
06) The audit/consultation resulted or is likely to result in development of process/activities or it was useful in other respects
07) The objectives of the audit/consultation were clearly told, and I was informed about the progress of the audit.
08) My wishes regarding the contents of the audit/consultation were taken into account or if not,I was told arguments for it
09) When planning and implementing the audit/consultation the auditor took into account my daily routines
10) The auditor had a constructive and positive approach
11) Open Question #1: How could internal audit give better benefit in development of activities?
12) Open question #2: How could we make internal audit reporting better?
13) Open question #3: How could we make co-operation in performing better?

-------------------------
MatMatFroFin

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MatMat


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Thursday July 18, 2013 4:23 PM

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For the client to reply:
01) The report focussed on essential things, reporting was constructive, clear and objective
02) The findings in the report are reliable
03) The audit/consultation concentrated on the key risks of the process
04) The audit/consultation added my understanding of the process
05) The audit/consultation added my understanding of internal control
06) The audit/consultation resulted or is likely to result in development of process/activities or it was useful in other respects
07) The objectives of the audit/consultation were clearly told, and I was informed about the progress of the audit.
08) My wishes regarding the contents of the audit/consultation were taken into account or if not,I was told arguments for it
09) When planning and implementing the audit/consultation the auditor took into account my daily routines
10) The auditor had a constructive and positive approach
11) Open Question #1: How could internal audit give better benefit in development of activities?
12) Open question #2: How could we make internal audit reporting better?
13) Open question #3: How could we make co-operation in performing better?

-------------------------
MatMatFroFin

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99thin


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Tuesday July 23, 2013 9:49 AM

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very useful information. thanks a lot for this.

thanks
99thin99thin

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Griff


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Friday July 26, 2013 9:07 AM

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The comments from Tennessee and MatMat are very good. Having obtained the answers to the questionnaire, from an interview not just by sending the questionnaire since this might not get the full picture, you need to include these in a formal appraisal. The advantage of an appraisal on each audit is that any problems that arise in performance can be dealt with immediately, as opposed to the annual appraisal which is too late. My audit manual at http://www.internalaudit.biz/webresources/ribaauditmanual.html has a 'Quality Control' section for an audit which gives an example.

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David Griffiths
www.internalaudit.biz

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DISCUSSIONS > IIA GENERAL DISCUSSION AREA [ REFRESH ]
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