Working Well With Auditees: Strategies for Effective ... · Jenny Atchley, Audit Supervisor . Nina...
Transcript of Working Well With Auditees: Strategies for Effective ... · Jenny Atchley, Audit Supervisor . Nina...
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Jenny Atchley, Audit Supervisor Nina Frant, Audit Manager
Working Well With Auditees: Strategies for Effective Communication
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Audience Survey
What’s the most common reaction you get from agency staff when you arrive on scene to begin an audit?
A. C. B.
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Learning Objectives
Share ideas and knowledge on how to:
• Maintain productive auditee relationships • Communicate effectively with agencies
throughout the audit process • Teach newer audit staff these skills
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In the Beginning: Auditee Communication During Planning and Survey
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Entrance Conference
• Before: Discussion of basic audit process and logistics
• Now: Strategic opportunity to educate
agency leadership about auditing standards and the basis for audit findings
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New Entrance Conference Agenda
• Yellow Book
• Reasons for audit
• Scope areas and agency suggestions
• Audit evidence
• Next steps
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Handling Tough Questions at the Entrance Conference
• Who on your team is an expert in our program field?
• Our program is not nearly as big as, say, Medicaid. Why are you spending resources to audit us?
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Audience Comments
• How does your agency encourage effective agency communication at the beginning of an audit?
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In the Thick of Things: Auditee Communication During Fieldwork
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Build Ongoing Auditee Relationships
• Identify key staff • Establish routine communication • Put yourself in their shoes
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Conducting and Sharing Key Analyses
• Understand what is required (criteria) • Prepare clearing documents with
agency staff in mind • Request written responses
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Fieldwork Conversations: Advice for New Auditors • What if they like agency staff as
people?
• What if they don’t like agency staff as people?
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Audience Comments
How do you teach new auditors to communicate effectively with auditees during fieldwork?
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When Things Get Real: Findings
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Communication at the Findings Clearing
• Provide written findings in advance of formal meeting
• Prepare reactive messages • Focus on audit evidence • Focus on solutions • Let agency staff vent
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Defending Your Findings: Coaching New Staff on Assertiveness • Prepare talking points ahead of time • Trust your work
– Yellow Book standards – Multiple levels of review
• Trust your knowledge of a program • Remember that you’re not alone
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Audience Comments
What advice do you have for communicating findings to auditees?
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General Tips for Effective Communication with Auditees
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Insights Discovery Color Analysis
Formal Detached
Competitive
Impersonal Objective Correct
Informal Considerate
Caring
Personal Involved Accommodating
Focus on the Task
Focus on the Relationship FEELING
THINKING
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Insights Discovery Color Analysis Eight Types Team Dynamics – Approach to Task
“Getting it started!”
“Doing it discreetly!”
“Doing it together!”
“Doing it carefully!”
“Doing it correctly!”
“Getting it done!”
“Doing it now!”
“Getting agreement!”
Compass Learning Guide – How the Eight Types Interact – Section 1.6
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Methods of Communication
• Phone vs. email • Verbal vs. writing
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Dealing With Difficult Auditees
• You can’t change them; you can only change you
• Accept that some people won’t like you
• Focus on the larger purpose of your work
• Find ways to laugh about your experience
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Questions or comments?
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1525 Sherman Street, 7th Floor, Denver, Colorado 80203
303.869.2800
http://www.leg.state.co.us/OSA/coauditor1.nsf/Home?openform