Dear Friends,
Working with a Chartered Accountant Firm..........
We basically conduct different kind of audits for the corporate.
And audit may vary from 1 day to 3-4 month as well,
So we are planning to start conducting appraisal of audit staff after every audit,though we do have annual performance appraisal system.
These appraisls shall be performance measures for the annual performance appraisal.
So My question are:-
1. Is it ok to start this.
2.If i start than how should i go about it as immediate supervisior has to conduct the appraisal.
3. what kind of form,i need to develop,will it be audit specific or may include other issues like adherence to the office policies as well.
can you please suggest me few points for the form.
plz dear friends reply.......
waiting for your suggestions.

From India, Delhi

Understand the behavioral aspects at individual as well as organizational level →
Promoted: IIM Raipur Executive Development Program In Human Resource Management
Dear Swati,

I can give some inputs based on my understanding. Generally organisations have set standards for auditing which audit staff need to adhere, ie we call it audit process.

As far as apraisal is concerned its seems little dicy to do it after every audit. Appraisal should go with organisations appraisal cycle. But yes we can definitely do review of auditors after every audit or set of audits if their durations are small. For review there are various factors which can be checked like no. of obseravations, reccomondations, corrections, suggestions for processes etc. but it all also depends upon the department and nature of business...

Alternatively or simultaneously one can also do 'Audit of Audit process' ie doing audit of audit staff to their processes & method as well as the outcomes. This can be done by senior members.

At the end above things can become the base for ur organisation's appraisal cycle for the audit staff. Also since u r financial concern then all audit related things will have to be very accurate...Here if someone is from finance background will be able to help more...

by the way it seems that u r doing a lot of work there...its realy gr8.

friends plz share ur views or any formats if u have...


From India, Mumbai
As per my understanding
Appraisals are not the things which can be done every month or week.You can go for performance evaluation and feedback on every audit.
It is good that the performance is to be evaluated every time.Performanse will also very from Company to Company you will audit.
Well I will give you some formats for it.
All the Best,Keep it up.

From India, Indore
but friends me facing one problem :-
as far as any management tools are concerned,like performance appraisal,
job description,KRAs and any policy...................
my management as they all are Chartered Accountant so they dont accept it easily i need to push them for.............
so many implementation prob are there............

From India, Delhi
Like we discussed earlier we can also put KRA kind of things for these permanent auditors...
Also review of audit process can be made. Form/excel has to created where in all audit process related points can be u r a CA firm, wht points to be added u can discuss along with the HODs...

From India, Mumbai
Hey Swati,
I really dont find a need to go with the Entire Appraisal Form for the Auditors. As they are timely.
We should try and come up with a feedback form for the entire staff of the Auditors. Try and include some catch in the feedback form which can help you to judge what are the areas where the auditors can really work for??
Feedback for has to be a bit long so that we do not miss out the points that we are suppose to catch.
Now sample question might be like this:-
What according to you is the reason behind the lagging time of Audit?
Now this question has got the catch in such a way that we come to know whether the auditor's work get delayed due to management or their own inefficiency.
I hope we can make some sense with this.

From India, Madurai
Hey swati,
It is a common problem that the HR tools are normally not accepted in the organization. The reason is we normally have only the tools.
Present our Tools in the form of Numbers. What HR tools can do to numbers and how they can make it more efficient?
Management is interested in costs. Tell them it will benefit organization a lot and can also help in increasing the efficiency.
But for this we need to carry out substantial homework so as to make ourselves comfortable with numbers and play with them.
I personally implemented it and till date it has ironically succeeded.
So i guess if i could anyone could. So just go for it and show the management portrait of numbers.

From India, Madurai
Hello Swathi,
Kindly take a look at and see if it triggers any ideas for you.

Found at
performance evaluation of autitors - Google Search=
A retired academic in UK

From United Kingdom
Dear Swati,
After each audit, the auditor must be required to submit individual reports in regards to audit conducted, and ways and methods to enhance the current process, the person should be required to give his inputs and short coming and other related readings of the organization that he conducts audit.
Such report should be submitted to his/her seniors, then the seniors based on this reports so submitted should give quarterly review on both knowledge expertise the person has acquired while working within the company.
This report so submitted would make part of the of both annual and half yearly appraisal of the employees of the company.
1/3 of the raise in the salary should be based on reports so submitted and then also annual appraisal should also be considered
Hope this idea helps you in some manner

From India, Mumbai
Dear sir,
thanmks for your response.....
to make it little formal can i have a feedback form of audit filled with the mutual discussion of audit partner and auditors who conducted audit.
where in we can take submissions of auditors to make audit process more effective and in disguise it will motivate auditors also to perform better in the audit assignment.
plz suggest

From India, Delhi

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