Tips and Ideas for Working with Auditors

[CliffK]

I think typically it's not so much a matter of finances. I typically treat auditors to lunch because as Jim says it's just good hospitality, it's unfriendly to allow a visitor to your town/business to go to lunch in an area they are unfamiliar with and by themselves.

On the same side of the coin I don't think auditors should expect you to take them out to lunch and foot the bill.

You're gonna foot the bill anyway, 'cause you're paying their expenses.

Certain organizations formalize it in the audit agenda. I think the exact words are "light lunch on site."

 

[michellemmm]

I think the exact words are "light lunch on site."

My CB auditor called it WORKING LUNCH... How can anyone work while eating??

 

[Wes Bucey]

My CB auditor called it WORKING LUNCH... How can anyone work while eating??

FWIW:
It can be done. When I was an Investment Banker in the 70's and 80's, we had a "working breakfast" every Monday from 7:00 am to 8:30 am, catered in the Board Room for the C-level suite. Each officer summarized the previous week from his perspective and outlined the agenda for the coming week. Each submitted a written copy of his previous week summary and future agenda for each of the other officers. As questions were asked and answered during the verbal report, a secretary made notes on her copy of the document and later that day, redacted copies with the notes of the meeting were redistributed to all parties. During the balance of the week, it was rare to have more than two executives in the building at the same time as we were out "deal making" with our staffs.

The most junior officer was always the meeting moderator and ran a time clock even against our Chairman. No rambling was encouraged. The meeting was strictly business and kept to the agenda and timetable every week. Group or individual action items from previous meetings were raised as "old business" at the start of each Monday session by the moderator who apparently boned up all day Sunday to be ready for the Monday morning.

Lunches were always reserved with investors, clients, or prospects. Dinners, association meetings, and cultural events were primarily business networking for us mostly to give "face time" to competitors, allies, and to scout out potential clients and investors.

 

[Jim Wynne]

My CB auditor called it WORKING LUNCH... How can anyone work while eating??

This reminds me of something I read several years ago, where a writer was asked what the most difficult thing about being a professional writer was. Unfortunately I don't recall the source, so I can't give proper attribution, but the answer was, "Explaining to my wife that when I'm sitting at my desk gazing out the window, I am working."

 

[Randy]

This reminds me of something I read several years ago, where a writer was asked what the most difficult thing about being a professional writer was. Unfortunately I don't recall the source, so I can't give proper attribution, but the answer was, "Explaining to my wife that when I'm sitting at my desk gazing out the window, I am working."

I have the same issue here. There are those that think my being at home (like now) is just a "free" vacation. I'm not scheduled to go out until Jan 29th and my "road" year ended Dec 21st. In the eyes of others, including the wife, I'm probably coasting in the office.

Coasting?

I'm generally at my desk (I have a real office of about 400 sqft with a private bath and exterior entry) by 7:30AM M-F on most days (the head office starts at 8:30) and I'm in here many days until after 6PM and at times later in the evening if Judi is doing something. (last night until 1AM, Judi is at her sisters in Witchita).

I had to work on Dec 22nd (Saturday) grading exams, closing out the course I did the previous week, filing expenses and all that. Christmas week from Sunday thru the next Sunday I took off.........I was in the office Dec 31st all day closing out the year and doing a couple 2nd grading of exams that I had been sent to look over. Jan 1st off. I have been back in the office non-stop since Jan 2nd and here's what I've accomplished.

Total revison of the 18K Understanding course for 18K2007
Total revison of the 18K Internal Auditing course for 18K2007
Total revison of the 14K Internal Auditing course
About 50% of a PAS 99 Implementation course
2nd and 3rd gradings of about a dozen exams for 14K, 18K and 9K courses
My 2007 performance review with my boss
Multiple pieces of planning coordination with our sales folks
Personal training on BS5999
Looking through and working on my audit client files (I have 2 jobs, Instructor and Client Manager)
And a bunch of smaller things............

But in the end there may be those that think I might be sliding (gazing out the window).

Oh, well

 

[JaneB]

Golden Rule works for me!

I think that's absurd. There's nothing unethical about good hospitality.

Quite agree. Suggest the best guidance is common courtesy. The auditor/s are visitors and at the very least, IMO courtesy dictates that at the very least one ascertains that they have their basic needs taken care of, even if that's just checking whether they've brought lunch/need arrangements, etc.

Sometimes I've taken auditors to lunch; sometimes I've not. Sometimes I've accompanied them, & sometimes not. At times the auditor wishes to go away and collect their thoughts alone (I fully empathise); sometimes they're very happy to have a lunch on the premises. And I also have trouble seeing a modest lunch/sandwich or the like as anything close to a bribe. Hmm, maybe my standards are too low

One auditor told me about once being at a large client (top 100 on our stock exchange here) with managers in a department. Come 12pm, they just announced, 'we're off for lunch, see you in an hour or so' and simply walked out on him. And went to their subsidized company canteen. They didn't even have the courtesy to suggest somewhere nearby within walking distance (it was a VERY large plant) where he could get his own lunch. OK, perhaps they 'assumed' he'd made his own arrangements. It seemed a shockingly uncivil way to behave IMO.

I can't think of any auditor who has 'expected' to be taken to lunch. I can recall many who were taken (often just to the local sandwich bar/takeaway, & not always particularly glamorous), and they were all appreciative and courteous if the client paid for it, which sometimes they did.

It's often nice to have a chance to chat with an auditor over a break, and get to know them in person a bit, in a relatively informal setting.

BTW On the stress side of the scale, another horror story from another auditor of a certification audit at a large client. On the last day of the audit, the QM's boss had 2 things sitting on his desk: a termination notice (to be given if they didn't pass) and the key to a new car (bonus if they did). And took care to let the QM know about both of them. A horrible way to 'manage' people. Fortunately in this case they passed. Hope the QM found a better organisation to work in.

 

[KWalls - 2008]

Are people's job really on the line over audit outcomes? That is very sad.

I have to say, my JOB isn't on the line... but a raise most certainly is!! And the fact that I have not had anything tarnishing my record up to this point. Nerves do tend to get the best of people most of the time. As I write this, I am trying to keep my composure... I am having an "On-Site Readiness Review" today. *Crossing my fingers!* My auditor is pretty personable, so I am making an effort to relax. He welcomes questions and comments and does a fine job at clarifying without making suggestions. I'd have to say, if you can't talk to your auditor like a human being then you may have picked the wrong auditor. Don't you think?

 

[GStough]

I have to say, my JOB isn't on the line... but a raise most certainly is!! And the fact that I have not had anything tarnishing my record up to this point. Nerves do tend to get the best of people most of the time. As I write this, I am trying to keep my composure... I am having an "On-Site Readiness Review" today. *Crossing my fingers!* My auditor is pretty personable, so I am making an effort to relax. He welcomes questions and comments and does a fine job at clarifying without making suggestions. I'd have to say, if you can't talk to your auditor like a human being then you may have picked the wrong auditor. Don't you think?

Good luck to you, Kyle! Yes, it does help one's nerves to have an auditor who is personable and easy to talk to and ask questions of.

Here's to hoping things go very well for you in the audit and that your raise is most reflective of the good job you've done thus far! :

 

[Craig H.]

Yes, good luck, Kyle!

Concerning off-site meals, etc., let's look at who we are dealing with here. An experience auditor will have seen how LOTs of people operate their business. While they cannot consult, what's to stop them from answering, in general terms, a question like "Our system for managing procedures seems to work OK, but I would like to improve it. Have you seen anything that you might suggest that would help us?" over a meal or a beer?. If they are not comfortable answering an open-ended question like that, they can just say "nope".

To me, cooperation is much more enjoyable, and most often generates the best results.

 

[michellemmm]

I have to say, my JOB isn't on the line... but a raise most certainly is!! And the fact that I have not had anything tarnishing my record up to this point. Nerves do tend to get the best of people most of the time. As I write this, I am trying to keep my composure... I am having an "On-Site Readiness Review" today. *Crossing my fingers!* My auditor is pretty personable, so I am making an effort to relax. He welcomes questions and comments and does a fine job at clarifying without making suggestions. I'd have to say, if you can't talk to your auditor like a human being then you may have picked the wrong auditor. Don't you think?

Good Luck Kyle!!!

I am sure you are going to get a big raise!!!