What to do when Auditee refuses to sign Audit Report

M

miwriter

#1
Hi, can anyone advise on what to do when the auditee refuse to sign the audit report?

She refuse to sign because she is only one month in the job and she claims that she has no training... She is resigning soon and no other person is incharge for the area except her, hr is still looking for her replacement..our audit is due soon and we need the iqa documents completed..

She is reporting directly to the CEO and insists that CEO should sign not her..but during the time of audit, the CEO is not around..
 
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DannyK

Trusted Information Resource
#2
Re: what to do when auditee refuse to sign audit report

Find out who the CEO's delegate is and get him/her to sign.
Ask the CEO who can sign on his behalf.
 
K

Ka Pilo

#3
Re: what to do when auditee refuse to sign audit report

Hi, can anyone advise on what to do when the auditee refuse to sign the audit report?
You cannot force the auditee to sign if he don't want to. Just include/note that incidence in your audit report.
 

Coury Ferguson

Moderator here to help
Staff member
Super Moderator
#4
Re: what to do when auditee refuse to sign audit report

Hi, can anyone advise on what to do when the auditee refuse to sign the audit report?

She refuse to sign because she is only one month in the job and she claims that she has no training... She is resigning soon and no other person is incharge for the area except her, hr is still looking for her replacement..our audit is due soon and we need the iqa documents completed..

She is reporting directly to the CEO and insists that CEO should sign not her..but during the time of audit, the CEO is not around..
In my opinion, I think there are two options:

1. He/She could refuse to sign and you can make a note saying "refused to sign" just as sometimes I have had to put that comment on any actions taken on an employee, that refuses to sign.

2. She/He could make a statement in the signature block like "by direction/authority for."

Note: Apparently, the Management Representative (if that is part of their title) doesn't have the necessary authority in regards to the Management System. I would then identify it as a minor, since the person doesn't have the authority per the standard.

But, this is only my opinion and someone else may/may not agree with me.
 
#8
Hi, can anyone advise on what to do when the auditee refuse to sign the audit report?

She refuse to sign because she is only one month in the job and she claims that she has no training... She is resigning soon and no other person is incharge for the area except her, hr is still looking for her replacement..our audit is due soon and we need the iqa documents completed..

She is reporting directly to the CEO and insists that CEO should sign not her..but during the time of audit, the CEO is not around..
What's the audit finding? If this person was to stick around, is it of interest to them? Why are you asking anyone to 'sign' a report, anyway? It's a CB audit technique and, if the report is true and accurate, what are you achieving by asking for a signature? It's your report...
 

SteelMaiden

Super Moderator
Super Moderator
#9
I don't have anyone sign audit reports/findings. It is a document to help improve the company, not a speeding ticket.
Why are you asking anyone to 'sign' a report, anyway? It's a CB audit technique and, if the report is true and accurate, what are you achieving by asking for a signature? It's your report...
This was my question also. Just to be clear, you are talking about an internal audit, right?
 
S

Sardokar

#10
I believe you need to explain to your auditee there is a difference between

- Audit Finding

And

- Corrective action


when she is signing an audit finding , it is just to testify that indeed trhis problem exists . This signature has nothing to do about responsibility


The corrective action on the other hand will identify root causes of this problem. I dont have all the details but it seems to me that the root cause is either :

* a lack of proper training and/or understanding of company procedures

*a lack of qualification .

In the first case the corrective action would be to train/explain better the problematic area/procedure and how it should be done to the manager


In the 2nd case (lack of qualification) , the corrective action would beto send the manager take courses on the problematic area ...or find another manager with the necessary qualification


hope that helps
 
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