New PDF release: Auditing for Managers: The Ultimate Risk Management Tool

By K. H. Spencer Pickett, Jennifer M. Pickett

At a time while many agencies are slicing their inner auditing departments, it truly is relevant that each supervisor is familiar with the basics of inner audits. This publication is designed as a company source to aid managers and their groups set criteria for self-auditing, probability administration, compliance assessment, and formal disclosure reporting. Readers will research confirmed, powerful options for appearing trustworthy and defensible audit stories to make sure compliance with rules and criteria.

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Example text

This is where auditing for managers fits in, where staff may assess the processes applied by teams in an organization. Blame is discussed again later in the book. In short Empowering people to assess their own systems is about encouraging them to want to be accountable for what they do by giving them the tools to do a good job – since a learning organization is based on a constant search for good, workable solutions to everyday problems. 11 The initial audit process should acknowledge and take on board regulatory compliance and the expectations of key corporate stakeholders.

Corporate and operational procedures, which set out standards and guidance for the way systems are used, the way business is conducted and the way documentation and reports are managed. • Another important component is the whistleblowing system, which is designed to highlight any breaches of the above audit process, which needs to be brought out in the open but may otherwise be concealed. • The whistleblowing reports in conjunction with the formal audit reports will feed into a corporate reporting system that addresses the three areas that we have already mentioned; that is, financial accounting, regulatory compliance and fraud and abuse.

The individual team worker may have a value system that forbids swearing or, conversely, sees it as great fun. We would hope to achieve a good balance between these three perspectives so that a suitable middle ground is secured. ’ Accountability is about accepting that we are responsible to someone else for our actions, while blame is about being stuck in the past. Many top people argue that they are responsible for overall policies, but not the ground-level operations and what happens on a day-to-day basis.

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