AuditMonitoring Steps Taken List steps here including Type of procedures used Data that was used ConclusionFindings Primary Findings Opinion Remediation efforts recommended Scope of AuditMonitoring ID: 1036227
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1. Compliance Monitoring ReportAudit/Monitoring Steps Taken:List steps here, including:Type of procedures usedData that was usedConclusion/Findings:[Primary Findings]OpinionRemediation efforts recommended:Scope of Audit/Monitoring:Department / Team / Business UnitLocationTimeframeScope limitations Identified during reviewApplicable PolicyPolicy LanguageCompliance Monitoring Team:[Name] – [Title]Executive SummaryThe following information pertains to the completed compliance monitoring into COMPLIANCE AREA pertaining to POLICY and relating to the DEPARTMENT NAME/LOCATION. The initial review was conducted on MM DD, 20XX.1Risk and Risk DescriptionRisk and Risk DescriptionInclude applicable laws/regulations hereManagement Action Plans:Management Action Plans – [developed by the business leader]Disciplinary action: [list disciplinary action taken by the business, if any, here] Include charts or graphs if applicable/availableInclude charts or graphs if applicable/availableInclude charts or graphs if applicable/availableList additional steps here, including:What tools were usedWhat trends / anomalies were identified
2. Hotline Monitoring2Total Reports321Type of AllegationNumber of ReportsAccounting/Financial16Business Integrity58HR, Diversity, Workplace Respect160EHS29Misuse of Assets13Other45Key Observations:Report volume is higher than previous period and anonymous reporting is below benchmark, indicating that employees feel comfortable speaking up and providing their name for investigation.Web reporting continues to increase year-over-year as more millennial and Gen Z employees enter the workforce.Open door reports are highest among the Environmental, Health, and Safety category.Total Reports321