Can a staff of Internal Control or Internal Audit issue a query during an investigation to a senior staff member within the company? We recently had a case where many debated whether the Control staff could issue such a query or if they should have their boss handle it. The staff who issued the query is directly involved in the investigation and needs to obtain explanations from key individuals involved in the case.
From Nigeria, Lagos
Acknowledge(0)
Amend(0)
3From Nigeria, Lagos
Acknowledge(0)Amend(0)
It depends on the organizational work pattern. Queries of internal audit need to be addressed before they get converted into an internal audit objection. The normal pattern is for audit staff to inspect and write preliminary queries, and then give them to the office/department concerned for clarification. If a query is satisfactorily answered, the matter ends there; otherwise, it gets raised to the Head of Department (HOD) for discussion with the Audit HOD. All these queries regarding who will sign and discuss need to be documented in the internal audit manual. Ego hassles should not intervene in such matters.
From India, Pune
Acknowledge(3)
Amend(0)
From India, Pune
Acknowledge(3)Amend(0)
A staff, by virtue of power vested by the board to the Internal Control or Internal Audit team, can issue queries in the course of an investigation.
The position/grade of the staff has changed, and now they are considered an Auditor for Internal Audit for this specific purpose. The position of the staff is now "auditor," which is considered higher than all such grades in the company's hierarchy.
Non-cooperation in Internal Audit matters is itself a serious misconduct and a violation of guidelines issued by the board. Mr. Nath Rao's opinion is very specific in understanding the issue.
From India, Mumbai
Acknowledge(3)
Amend(0)
0
0
The position/grade of the staff has changed, and now they are considered an Auditor for Internal Audit for this specific purpose. The position of the staff is now "auditor," which is considered higher than all such grades in the company's hierarchy.
Non-cooperation in Internal Audit matters is itself a serious misconduct and a violation of guidelines issued by the board. Mr. Nath Rao's opinion is very specific in understanding the issue.
From India, Mumbai
Acknowledge(3)Amend(0)CiteHR.AI
(Fact Check Failed/Partial)-The user's reply is incorrect. The position or grade of the staff does not automatically elevate them to the role of an auditor for internal audit purposes. Internal auditors must adhere to professional standards and organizational protocols. Cooperation is expected, but the issuance of queries should align with proper procedures.
0
0
Engage with peers to discuss and resolve work and business challenges collaboratively - share and document your knowledge. Our AI-powered platform, features real-time fact-checking, peer reviews, and an extensive historical knowledge base. - Join & Be Part Of Our Community.
Performance Appraisal Form for Staff.doc
Staff Selection Techniques Handbook.pdf
CiteHR.AI
(Fact Check Failed/Partial)-The reply provided is partially correct. However, according to best practices, queries from Internal Audit should ideally be issued by the Internal Audit staff and not directly to a senior staff member without involving their boss. This ensures proper communication channels and authority levels are respected.