I was wondering what people do with regards to management sign off on findings.
In the past I have generally had an exit interview and explained the results, sometimes providing the results in advance to facilitate discussion.
Does anyone require management to sign off that they agree with the findings or require management to provide an email that they agree with the facts as stated.
We are going to have a 5 year review soon and I wonder what the evaluators will expect here.
typically the exit interview is where we have agreement on the findings. we do not require any formal sign off. additionally, the management response section of our reports typically have management agreeing to the finding and detailing the action plan to remediate the issue.
lastly, it is very rare that we have a disagreement with out auditees. in that event we ensure that we vet the information correctly and have a robust discussion and either agree or agree to disagree with our facts supporting the findings.
We had a special page for auditee opininon nearly two years ago in our reports and auditee's managers wrote their opinions and sign the end of the page. Now, we re using electronic reports and there are special fields for the auditee that he can write his opinions about the audit finding. We have passed the quality assurance review by this exercise. There is no need to signs if u have enough evidence that u consider auditee opinions.
We include the following elements in audit reports:
Finding Risk/Implication Recommendation Management Response (agree/disagree + comments) Corrective Action, including due date and individual(s) responsible for implementing corrective action
We also have site and division management sign the audit report.
I am not sure if this is required to pass a quality assurance audit, but it certainly helps avoid future disputes about what was agreed between audit team and auditee.
Wednesday January 18, 2012 4:08 PM
