Post audit work

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Hello everyone, I am looking for anyone to explaine me the post audit work after sending the final report. Thank you
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Shared By: GLORY
Date: March 15, 2021
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  1. Hello!
    I can tell you my processes. Initially – I do provide a draft audit report with an area for management responses (how are they going to fix the problem and if they agree with my recommendations). This draft report does have a ‘due date’ – otherwise my report goes up with out a management response. I have then utilized our project management software for my department’s needs. I am able to track findings from different audits (both internal/external) and assign these to those within management that are responsible along with their ‘due dates’ they feel the item will be resolved. The next time I complete the same type of audit – if the issue has not been resolved – or if management’s ‘fix’ didn’t work – it will be labeled as a repeat finding.
    I do work for a Financial Institution – so I also utilize the very manual excel spreadsheets to track actual errors associated with loan/account files for other team members to access and follow-up with on correctable errors.

  2. An example from another shop:
    We did not negotiate an implementation date with management. Quarterly, the auditor in charge followed-up with the auditee to see whether the recommendations were implemented or issues resolved.

    Information from these follow-up was incorporated into developing our audit plan. If an auditee didn’t close recommendations/findings in a reasonable time frame, we might schedule an audit to find out why. We might also recognize that unclosed findings mean higher risks, and prioritize them higher on our audit plan.

    There should also be internal tasks. A lessons-learned meetings helps drive continuous improvement in our own organization.

  3. Happy to help you out and share how the company I’m with is doing this. We basically agree on implementation dates that are at the end of a quarter with the auditees. We then reach out to them after the due date over email if we haven’t heard back from them proactively.

    Based on whether the finding was an A, B, or C rating, we’re looking at supporting documentation to back up the implementation. We sometimes also perform a full follow-up audit.

    We are doing this all over email / Excel files to track things. But there are tools that help automate this entire process and would notify the auditees.

    Hope this helps a little? Anyone else?

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