AuditNet
Resource List
Audit
Programs
AuditNet Virtual
Library
AuditNet
Newsletter
Ask
the Auditor
AuditNet
Mailing Lists
Audit
Jobs
Travel
Career Links
Partner
Discounts
Search
Sign Guestbook
AuditNet Sponsors
Advertising
Opportunities
About AuditNet
About Jim
Kaplan
AuditNet Seminars
AuditNet
Home Page
PRESENTATION AND IMAGE – A GUIDE FOR OUTSOURCED INTERNAL AUDIT PROVIDERS
By
Kastuv Ray
She was a phantom of delight
When first she gleam’d upon my sight
A lovely apparition, sent
To be a moment’s ornament;
The four lines above are excerpts from a poem by William Wordsworth (April 7th 1770 – April 23rd 1850).
Introduction
You may be asking yourself as you read this article, “What in the world has this poem got to do with internal audit?” or more likely “What planet does Kastuv Ray come from?”
I will try to explain below and just for the record, I was born on the planet Earth or so my parents have led me to believe.
Client Concerns
A common question that is posed to outsourced internal audit providers at tender presentations is how they will fit in with the culture of the organization. It is sometimes very hard on the part of the outsourced provider at this juncture to explain how they will fit in. The leader of the presentation and his or her internal audit team can only explain their experiences. Contrary to popular thought, there are some outsourced internal auditors out there who actually practice what they preach.
The client may have had some previous bad experience. Outsourced internal audit may be a new thing for them. Presenting a business case for internal audit to management and trying to have it approved is sometimes very difficult. It is sometimes a very big gamble for those individuals who have had the case for internal audit approved. We as internal auditors should be grateful for having the opportunity to sell ourselves. Not all outsourced internal audit providers are profit driven.
The Poem and Image
If one thinks very deeply about the lines and thinks laterally like we have to do with risk management, there is something we can learn from this poem.
The visual works wonders. Internal Auditors have to be professional in their approach. This can be anything from the way we dress, the way we behave, attitude, speech and what do we do when we are on site. From the first day of the contract and throughout the entire contract, we have to leave behind a
lasting impression that will be remembered (much like a fingerprint).
A Guide
Listed below are some things to do and things not to do when working at a client.
I will start with the things not to do.
Things Not to Do
· Do not turn up at the client with the zipper in your trouser open. (Whilst this may create a lasting impression, it does not bode well for your firm). Remember you are an ambassador.
· Do not wear jeans to the client site (unless it is a stock take or you have been authorized to do so by both the client and your supervisors).
· For gentlemen, wearing a shirt and tie, do not leave the top button of your shirt unfastened. (Remember you are on display here).
· Do not wear “heavy duty” boots to the site. (Unless of course, it is snowing. Ensure you change into normal shoes inside).
· Do not have your mobile phone set on full volume. (Clients are irritated by disruptions). Try and set your phone on the vibrating function.
· If you have a sophisticated mobile phone, do not talk to your colleagues and the client about how great it is as soon as you have entered the door. Do not also talk on this subject for more than 10 minutes. (You will be branded a show off).
· If you have a laptop, do not have the volume set at it’s highest and have some strange sounds coming from it. (This is extremely disruptive). If you are the supervisor, and you have junior staff about, thoughts of strangulation may be passing through their minds. You are not setting them a good example and you are not doing the company any favors.
· Please do not talk about how great your mobile phone is in sending messages to your laptop.
· If you have paid an agency commission for an employee, do not tell the client and every one you meet about it. (This can be extremely annoying for the employee and you are also attracting the risk of adverse comments from clients).
· Do not have your mobile phone switched on during an internal audit meeting.
(If the phone rings and you answer it, it presents the image that the client is not as important as the other person on the phone)
· Do not wear the same colored shirt to work everyday (you may have a wardrobe full of the same shirts but it can sometimes present the client with the image that you do not wash).
· If you can speak another language other than the one prevalent in the office at the time, do not do so when answering a call from say your brother in an open office.
· If the client is late for a meeting, do not jump up and down and tell their secretary or staff how annoyed you are with them. (Try and work around it).
· Do not turn up at an Audit Committee and state how far you had to drive and that you did not want to come to the site in the first place? (If you are a manager, you have a role to play, if you can’t fiulfill that objective, step aside and let someone who is committed to fulfill that requirement do so.
· Do not start cracking jokes on the first day of the audit. (It could backfire).
Remember you are an auditor, not a comedian.
· Do not turn up at a client site and present a “know-it-all” or “I am better than you” image? Attitude makes a big difference.
· Do not constantly use the word “basically” as you may think it has no impact and may be saying it harmlessly but the client may think you are talking down to them.
· Do not go on about how wonderful, popular and efficient you are with other clients?
· Where there is a paid tea trolley service, do not try to scam the tea lady out of money. (Do not abuse your rights).
· Do not turn up on site and demand that you see every member of management.
· Do not ask the Chief Executive’s secretary out on a date on your first day on site.
Things to Do
Enough about the negatives, let’s look at what we should do.
· Present a professional image.
· Dress smartly.
· Be polite.
· Try and work with the client and when planning meetings book them in advance.
· Negotiate.
· If you are taking a mobile phone call, go outside the office and take it elsewhere.
· Try and act, as you are part of the client team.
· If you are going to be late, try and contact the client in advance so as not to let them down. They may have important meetings booked. Remember their time is just as important as yours.
Conclusion
Robert Greene in his book entitled “The Concise 48 Laws of Power” published by Profile Books mentions the following:
“Demonstrate do not explicate”
The test of any individual lies in action.
Outsourced internal audit providers can set an example by positive actions.
Only then maybe one day, the question posed by a member of the tender panel will become extinct.
