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PRI Registrar Auditor Survey

PRI Registrar Auditor Survey. Randy Daugharthy April 2018. And The Survey Says…. Ask the auditors for feedback? Are you crazy!? They’re auditors! They will judge us! That’s what they do! Why not? How else do you suggest we get this valuable information?

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PRI Registrar Auditor Survey

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  1. PRI RegistrarAuditor Survey Randy Daugharthy April 2018

  2. And The Survey Says… • Ask the auditors for feedback? Are you crazy!? They’re auditors! They will judge us! That’s what they do! • Why not? How else do you suggest we get this valuable information? • In a brave new world and in the spirit of continual improvement and partnership in satisfying our clients we conducted an auditor survey. • Thank you for the response!

  3. And The Survey Says... • We asked a series of questions on the main areas that Auditors interact with in our process: • Scheduling • Technical Support • Audit file check-in review • RMS • Expenses • Training • On-Boarding of new auditors

  4. And The Survey Says… • We send out survey links to all US based auditors (49). • Response rate was 67% • Questions were rated on a 1-5 scale. • 5= very satisfied • 4= somewhat satisfied • 3= neutral • 2= somewhat dissatisfied • 1= very dissatisfied • The overall score was 4.16 - 83.1%

  5. And The Survey Says…

  6. And The Survey Says… Audit File Check-In (Account Specialist review of audit pack): -How would you rate the accuracy of the audit data entered in RMS or OASIS? Score: 4.09 - 81.8% -How would you rate the timeliness of audit documentation and audit set up in RMS or OASIS? Score: 4.12 - 82.4% -How would you rate the consistency of the audit file check-in process? Score: 4 - 80%

  7. And The Survey Says… Audit File Check-In…Auditor Comments: • Consistency not same across all Account Specialists (a.k.a-CM). • Audit plan is not partially merged (RMS). • I seem to consistently have documents missing within a few weeks of the start of the audit. • Forms availability and navigation to get to information is an issue.

  8. And The Survey Says… PRI Response: • People were unclear about question, so we will rewrite for next survey. • Consistency in audit file check-in process (and all others) is a priority for 2018 starting with revised procedure and training. • Some issues raised are RMS related. Others are forms (i.e. Audit Plan) or process related. In the works as enhancements. • No comments form auditor regarding NCR closure flow or amount of documentation. • We are evaluating how to reduce the amount of documentation we currently require. Some good improvements on the way!

  9. And The Survey Says… Technical Support: -How would you rate the usefulness and effectiveness of technical support provided to you? Score:4.42 - 88.5% -How would you rate the timeliness of your technical requests? Score:4.42 - 88.5%

  10. And The Survey Says… Technical Support…Auditor Comments • Some confusion between technical (quality) and technical (RMS) support so we separated comments. • Audit docs should be named - not just RF # • Rarely contact Technical… so no issues. PRI Response: Score was actually pretty good so not an issue at this time. - Reminder: We have a 24 hour response time policy.

  11. And The Survey Says… Expense: -How would you rate the RMS expense report process? Score:4.45 – 89.1% -How would you rate the timeliness and accuracy of our review and payment process? Score:4.33 – 86.7% Auditor Comments: • By far the simplest and fastest. (I work with 5 registrars). • Enable system to calculate total of meals expenses.

  12. And The Survey Says… Expenses…Auditor Comments: • It’s great. No suggested improvements. • It would be great if notification would say when the money will hit bank account. (Note: it says 2-3 days) PRI Response: PRI pays very fast - majority of the time within same week if submitted by Tuesday noon. Contractually, we have 30 days but always push for faster payment. Accounting is a shared service for all PRI programs so not in our direct control. Big changes happen in 2017/2018 with NetSuites and InvoicePay implementation.

  13. And The Survey Says… Scheduling: • How would you rate the effectiveness of the scheduling communication you receive? Score: 4.36 - 87.3% • How would you rate the effectiveness of audit date confirmation process? Score: 4.15 - 83% • How would you rate the process for managing audit date changes? Score: 4.15 - 83%

  14. And The Survey Says… Scheduling…Auditor Comments: • Nice if RMS could interface with other calendars • Addendums are not always timely to allow enough time to schedule audit prepare audit plan. • I work with multiple registrars hard to manage all calendars • Start locking client contracts down 4-6 months in advance of their expiration date. • Schedulers at PRI are better than other Registrars.

  15. And The Survey Says… Scheduling…Comments: • Once the system is understood it is quite smooth. It could be helpful for the audit list in RMS to show whether or not its been accepted. • Early determination of audit time and NCR review time to allow planning for total time on-site. Earlier confirmation and commitment from client. • Allow auditors to manage calendar changes without the added complications of dealing with the office for simple changes. It worked before.

  16. And The Survey Says… Scheduling…PRI Response: • The calendar is our tool to make our scheduling process scalable for our business. We will work on improvements to make it better and easier to use. • We considered letting auditors manage their own schedules but risks of accreditation rules violations, budgets/forecast, and double bookings too great. • A dedicated scheduler was a strategic change due to importance and to free up more of sales time. • Danyel will cover more during her presentation.

  17. And The Survey Says… RMS: -How would you rate ease of use of RMS? Score: 3.64 -72.7% -How would you rate functionality of RMS? Score: 3.48 – 69.7% Auditor Comments: • Easier Navigation needed. Too many clicks to get to information. • When opening the Audit List, make it sort it by date (oldest to newest, or vice-versa) automatically.

  18. And The Survey Says… RMS…Auditor Comments: • We should be able to have all of the audit information on one page so that we can easily verify during the opening meeting (scope, exceptions, number of employees). Information is in several different places in RMS. • Make it more user friendly. • Improve Audit Plan flow. Must hit submit even if email audit plan sent to client.

  19. And The Survey Says… PRI Response: • Easier navigation, consolidation of information, and filtering of data were the big three areas of feedback. • We have come a long way since last year and have a list of enhancements we continue to work on including several items in the 3 categories above. • Louise will be covering more during her presentation.

  20. And The Survey Says… Training: -How would you rate the quality of our training/communication (e.g. advisories, quarterly webinars, annual training)? Score: 4.21 - 84.2% -How would you rate the frequency of our training/communication (e.g. advisories, quarterly webinars, annual training)? Score: 4.30 - 86.1% -How would you rate the value of the training and communication we provide? Score: 4.18 – 83.6%

  21. And The Survey Says… Training…Auditor Comments: • Can you just record the quarterly webex training and post so we can view as able? • Content requested to be more focused on interpretations, tips, and techniques. • More technical content less admin critique – deal with individual performance issues separately. • Annual training content has improved. • A lot of time was spent on RMS & OASIS (2017).

  22. And The Survey Says… Training…PRI Response: • We will look into pre-recording quarterly training sessions and posting. Allows more flexibility to auditors for their viewing. Blog, Q&A, FAQ? • We will add more technical content and always welcome any suggested topics. • Less time spent on software going forward as improvements are made. • We welcome any training topic suggestions.

  23. And The Survey Says… On-Boarding: -How would you rate communication of our on-boarding steps and requirements? Score: 4.67 – 93.3% -How would you rate how we managed the on-boarding steps including training, witness audits, testing, IAF codes assignments, first audit scheduled, and follow up? Score: 4.33 – 86.7% Auditor Comments: Process is too long - simplify.

  24. And The Survey Says… PRI Response: • Recruiting and on-boarding process has been completely overhauled with Marcia joining us! • High priority from our annual SWOT analysis. • We will continue to fine tune process as we go.

  25. And The Survey Says… Summary • Good first attempt to gain meaningful and valuable feedback. • We will use your feedback to drive our improvements in these areas. • We will do it again next year and expect to see significant overall improvement.

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