What are the best strategies for resolving conflicts with external auditors?

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As a systems manager, you may have to deal with external auditors who evaluate your organization's processes, controls, and compliance. Sometimes, you may encounter conflicts with them over their findings, recommendations, or expectations. How can you resolve these conflicts effectively and maintain a positive relationship with the auditors? Here are some of the best strategies you can use.

本文章的要点总结

Open communication:

Keeping auditors in the loop with regular updates and responding swiftly to their inquiries can prevent misunderstandings. It’s about building a rapport where both parties feel heard and valued.
Proactive transparency:

By discussing potential issues early on with auditors, you lay a foundation of trust. This means fewer surprises down the line and a smoother audit process overall.

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Natrajan Ramkrishna

Board and Governance Consultant
Artur Wolnica

1 Understand the audit scope and objectives

Before the audit begins, make sure you have a clear understanding of the audit scope and objectives, as well as the roles and responsibilities of both parties. Ask the auditors to provide you with a detailed audit plan, including the criteria, methods, and evidence they will use. Review the plan and clarify any questions or concerns you may have. This will help you avoid misunderstandings, gaps, or discrepancies later on.

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2 Communicate openly and regularly

Communication is key to resolving conflicts with external auditors. Keep the lines of communication open and regular throughout the audit process. Update the auditors on your progress, issues, or changes that may affect the audit. Respond to their requests, queries, or feedback promptly and professionally. Avoid being defensive, aggressive, or dismissive. Instead, listen to their perspectives, acknowledge their concerns, and explain your rationale. If you disagree with their findings or recommendations, provide factual and objective evidence to support your position.

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Artur Wolnica
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Collaboration and open discussion are essential for clarifying topics and ensuring auditors are aware of specific procedures and organizational actions. Make sure you understand the questions and provide concise answers to the auditors' questions. Building trust and promoting collaboration with auditors is essential for fostering relationships, especially in situations where ongoing teamwork with audit experts is anticipated.

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3 Collaborate and cooperate

Another strategy to resolve conflicts with external auditors is to collaborate and cooperate with them. Treat them as partners, not adversaries. Show respect, courtesy, and appreciation for their work. Involve them in your decision-making, problem-solving, or improvement processes. Seek their input, advice, or suggestions on how to enhance your systems, processes, or controls. Demonstrate your commitment to quality, compliance, and continuous improvement. By working together, you can build trust, rapport, and mutual understanding with the auditors.

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4 Escalate and negotiate

Sometimes, despite your best efforts, you may still face conflicts with external auditors that cannot be resolved at your level. In such cases, you may need to escalate and negotiate the issue with higher authorities. For example, you may need to involve your senior management, the audit committee, or the audit firm's management. Explain the nature, impact, and implications of the conflict. Present your case clearly, logically, and respectfully. Listen to the other party's views and concerns. Try to find a common ground, a compromise, or a win-win solution that satisfies both parties.

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5 Learn and improve

The final strategy to resolve conflicts with external auditors is to learn and improve from the experience. After the audit is completed, conduct a debriefing session with the auditors and your team. Review the audit results, feedback, and recommendations. Identify the root causes of the conflicts and how they were resolved. Evaluate the effectiveness of your conflict resolution strategies and skills. Recognize the strengths and weaknesses of your systems, processes, and controls. Develop an action plan to address the gaps, issues, or risks identified by the audit. Implement the plan and monitor the outcomes. By learning and improving from the audit, you can prevent or minimize future conflicts with external auditors.

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6 Here’s what else to consider

This is a space to share examples, stories, or insights that don’t fit into any of the previous sections. What else would you like to add?

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Natrajan Ramkrishna

Board and Governance Consultant
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1. Auditors must build trust with managements by escalating potential conflict areas well in advance and offering possible solutions within the framework of regulatory compliance. Managements must recognise that the auditors have onerous responsibilities that preclude accepting positions that may compromise integrity. Proactive managements "run past" contentious issues upfront to avoid last minute surprises. Auditors must understand, certain of their positions may be rejected because managements do not accept "last minute surprises". The most ideal way forward is to build mutual trust through transparency, discussing contentious issues proactively and being clear on expectations.

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What are the best strategies for resolving conflicts with external auditors?

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1 Understand the audit scope and objectives

2 Communicate openly and regularly

3 Collaborate and cooperate

4 Escalate and negotiate

5 Learn and improve

6 Here’s what else to consider

Systems Management

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