October 2012

What to do when audit clients disagree with you!

Reading Time: 3 minutes Every auditor has or will face situations where clients significantly pushback on audit issues. Internal Auditing is an independent and objective function tasked with evaluating management’s risk identification and mitigation strategies. However, when presenting potentially reportable items to management, that objectivity can sometimes disappear as auditors began vigorously

What do Internal Auditors & Doctors have in common?

Reading Time: 2 minutes When we reach certain ages and stages in life, it is customary to have specific medical checkups to provide reasonable assurance that we are in good health. Occasionally, there are issues that require follow up in the form of preventive maintenance or corrective action. For example, if your cholesterol numbers are creeping up, she may suggest foods that can naturally stabilize it. Or if the

3 Reasons Internal Audit Clients Refer You to Other Units

Reading Time: 2 minutes Have you ever had audit clients refer you to or suggest (sometime strongly) that you audit specific areas in the organization? What do you think about this? My thoughts have changed over time.

In the past, I believed that audit clients would provide referrals to “throw other units under the bus” or to get us away from their areas of responsibility. You

I still don’t care what keeps you up at night

Reading Time: 2 minutes Again…better questions to ask your audit clients

I recently wrote an article titled “What Keeps You Up At Night…Who Cares! 6 Better Questions to Ask Audit Clients”. The major premise stressed the fact that auditors truly need to ask the questions they really want answered. Asking a client “What keeps you up at night” is terrible, for one, because

How Happy Are Your Audit Clients? Ask Them!

Reading Time: 3 minutes Anyone providing products or services to customers should want to know what customers think about the product/services. Internal Auditors typically solicit feedback through client satisfaction surveys. There are a variety of ways to solicit opinions including live interviews and questionnaires. Successful questionnaires will help audit functions determine how well they are achieving goals and objectives. Many auditor simply copy surveys from other departments. I believe auditors must create surveys specifically for their operating environment. Successful surveys must consider the Stakeholders, the Questions and the Re

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