Dear seniors,
I am working as a HR-exe. in a finance co. My problem is internal auditors. Please guide me how to handle the Internal Auditors as they dont behave well at the time of audit and treat as an enemy. Some times they do not discuss with us on the report or demand for the documets.They write any thing what they want which affects our KRA and performance. Your Guidelines in this matter is very valuable for me.
Warm Regards
Ashwini kumar
From India, Mumbai
I am working as a HR-exe. in a finance co. My problem is internal auditors. Please guide me how to handle the Internal Auditors as they dont behave well at the time of audit and treat as an enemy. Some times they do not discuss with us on the report or demand for the documets.They write any thing what they want which affects our KRA and performance. Your Guidelines in this matter is very valuable for me.
Warm Regards
Ashwini kumar
From India, Mumbai
Hi,
1. You can talk to the Auditors before the audit and take their guidelines on the presentation during Audit.
2. You can also talk to your manager on this and prepare a check list which will be required during audit.
3. Remember whether it is internal audit or external audit they try to find mistake, dnt give a changes.
4. Past your roles and respons for the audit in your desktop so you can prepare then on time.
5. If the auditor is writing in the report what ever he wants then there is a problem with the auditor try talk to him or ask your manager to talk him on this issues.
Hope this will help you in solving your problem.
Thanks and regards.
From India, New Delhi
1. You can talk to the Auditors before the audit and take their guidelines on the presentation during Audit.
2. You can also talk to your manager on this and prepare a check list which will be required during audit.
3. Remember whether it is internal audit or external audit they try to find mistake, dnt give a changes.
4. Past your roles and respons for the audit in your desktop so you can prepare then on time.
5. If the auditor is writing in the report what ever he wants then there is a problem with the auditor try talk to him or ask your manager to talk him on this issues.
Hope this will help you in solving your problem.
Thanks and regards.
From India, New Delhi
You are finding internal auditors rude because there is lacuna in you and your department so when someone points out your mistake you are becoming angry. You also do the same to employees, first improve the performance of your department and of yourself then automatically auditors will write good. You dont want to do any job and want good performance appraisals. Do hardwork and let the auditors do their work. Because you interfered in auditors work they must have been rude to you. Dont interfere in their work Mr. Sr. HR Exec.
From India, Pune
54From India, Pune
You cannot teach honesty to accountants.All auditors are same every where.The reason is that their boses tell them to find faults since their survival depends upon that otherwise it will appear that audit is not needed and hence their boses' consultancy fees is gone.Had auditors been honest then SATYAM would not have occured.
From India, Pune
From India, Pune
Sanjay is right – they are on a fault finding mission. The idea is not to give them something to find fault with in terms of submitting documents, and your practices. However, your success rate is something else as there is always room for improvement. I work for the health sector of govt – need I say more when it comes to auditing.
Auditors are there not to find faults with you but they are there to improve the organisation structure and controls. Behaviour is a product of preconcieved notions. If u take audit as a tool in improving your and organisation performance then any attitude of the auditors will be taken positively .:icon1:
Hello Ashwini
I am from the quality (internal audit) back ground. Audit is not merely of finding faults, instead ensuring that some process is defined and there are no deviations / short cuts in that process. A good process will be a full proof, which doesn't attract any short falls.
Many auditors feels that, if they does'nt find any NC (non confirmance) people think that they have not done their job properly.
There are 3 types of NC - Major NC, Minor NC and Observations.
Major NC - where there is no defined process / objectives
Minor NC - there is a process but using short cuts
Observations - areas where more emphasis has to be given / areas where problem might occur.
Following has to be taken care in case of an audit:
1. Ensure that you have a well defined process in place.
Ex - work flow / flow charts etc.,
2. Define the work - time frame / responsibility / target date and the records maintained for the same.
3. Records can be maintained in hard copy as well as in soft copy.
4. Maintain work instruction / process module whereever necessary.
5. Be cool and real, do not let the auditor know that you are hiding some thing.
Hope this might help you.
Regards
Vasanth
From India, Bangalore
I am from the quality (internal audit) back ground. Audit is not merely of finding faults, instead ensuring that some process is defined and there are no deviations / short cuts in that process. A good process will be a full proof, which doesn't attract any short falls.
Many auditors feels that, if they does'nt find any NC (non confirmance) people think that they have not done their job properly.
There are 3 types of NC - Major NC, Minor NC and Observations.
Major NC - where there is no defined process / objectives
Minor NC - there is a process but using short cuts
Observations - areas where more emphasis has to be given / areas where problem might occur.
Following has to be taken care in case of an audit:
1. Ensure that you have a well defined process in place.
Ex - work flow / flow charts etc.,
2. Define the work - time frame / responsibility / target date and the records maintained for the same.
3. Records can be maintained in hard copy as well as in soft copy.
4. Maintain work instruction / process module whereever necessary.
5. Be cool and real, do not let the auditor know that you are hiding some thing.
Hope this might help you.
Regards
Vasanth
From India, Bangalore
You must take them for lunchon party and appreciate their role aswell as their intelegence to get some favour this is ageold tricks...........
From Saudi Arabia, Riyadh
From Saudi Arabia, Riyadh
@ above ^^^^^ cAPTAIN cook
yes that is really prevailing in INDIA EVEN FOR DIWALI WE USED TO GIVE PRESENTS TO ALL GOVT OFFICIALS AND WHOLE YEAR HAD NO PROBLEM EITHER WITH FACTORY OFFICE OR LABOR OFFICE,
BUT SINCE THEY ARE INTERNAL AUDITORS IT WILL BE TOUGH, BUT ARRANGE DRINKS N MAKE THEM BOOZE THEN EVERYTHING WILL BE ALLRIGHT..
From India, Pune
yes that is really prevailing in INDIA EVEN FOR DIWALI WE USED TO GIVE PRESENTS TO ALL GOVT OFFICIALS AND WHOLE YEAR HAD NO PROBLEM EITHER WITH FACTORY OFFICE OR LABOR OFFICE,
BUT SINCE THEY ARE INTERNAL AUDITORS IT WILL BE TOUGH, BUT ARRANGE DRINKS N MAKE THEM BOOZE THEN EVERYTHING WILL BE ALLRIGHT..
From India, Pune
Dear Ashwini,
Your bad experiences with the auditors are not common. I am very senior in HR and have faced many internal & external accounts audit. Some times I also have found rough, egoist and –attitude auditors. who will show themselves as they are not common they are different. Even they do not call other staff nicely for any files or documents. BUT they are few and human beings like you and me.
Being a scientist of human behaviors you accept these behaviors and attitudes as a big challenge for yourself. You have to change their behave and attitude while you face audit next time onwards. You have to improve your work as well as your supporting attitude. They cross check your work/documents with the systems and policies and they need your support as well. They have powers to write about the compliances and he may right some times wrong about you, which will affect your performance analysis. But for this you can take-up this issue with your senior authority.
You are a competent HR Executive and you can proof only with your work.
Thanks,
Kashi
From India, Benaulim
Your bad experiences with the auditors are not common. I am very senior in HR and have faced many internal & external accounts audit. Some times I also have found rough, egoist and –attitude auditors. who will show themselves as they are not common they are different. Even they do not call other staff nicely for any files or documents. BUT they are few and human beings like you and me.
Being a scientist of human behaviors you accept these behaviors and attitudes as a big challenge for yourself. You have to change their behave and attitude while you face audit next time onwards. You have to improve your work as well as your supporting attitude. They cross check your work/documents with the systems and policies and they need your support as well. They have powers to write about the compliances and he may right some times wrong about you, which will affect your performance analysis. But for this you can take-up this issue with your senior authority.
You are a competent HR Executive and you can proof only with your work.
Thanks,
Kashi
From India, Benaulim
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