How to Manage Auditors and Regulators
Be truthful., Don’t answer questions for other managers; instead, tell them who is the right manager., Keep copies of everything given to them., Give them temporary access to your building for the dates and times they request., Meet with your staff...
Step-by-Step Guide
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Step 1: Be truthful.
Listen to their full question and do not interrupt.Answer the question asked (and no more).
If you don’t know the answer, don’t guess. -
Step 2: Don’t answer questions for other managers; instead
Respond promptly to information requests – set expectations on your delivery. , Organize responses to minimize their need to find . , Remember to disable access rights when they finish their work.
The appropriate manager should escort them on any tours of secured work areas such as server rooms, cash storage areas, telephone closets, stockrooms, etc.
Provide them a suitable conference room or cubical with telephone and approved network service. (Note- some examiners pay for their own telephone service installs).
Also provide them with locking cabinets they can use during their work. , These rules are:
Most of their questions will be answered by your managers.
If your manager needs your assistance, you’ll be invited to a meeting with your manager and the auditor.
If the auditors "drop by" your cube with a question, remind them they’re supposed to schedule meetings through your manager.
If the auditor ignores this request and asks you questions anyway politely explain that they have to speak to the manager first and direct them to the manager. -
Step 3: tell them who is the right manager.
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Step 4: Keep copies of everything given to them.
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Step 5: Give them temporary access to your building for the dates and times they request.
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Step 6: Meet with your staff before the exam begins to explain the rules of the road.
Detailed Guide
Listen to their full question and do not interrupt.Answer the question asked (and no more).
If you don’t know the answer, don’t guess.
Respond promptly to information requests – set expectations on your delivery. , Organize responses to minimize their need to find . , Remember to disable access rights when they finish their work.
The appropriate manager should escort them on any tours of secured work areas such as server rooms, cash storage areas, telephone closets, stockrooms, etc.
Provide them a suitable conference room or cubical with telephone and approved network service. (Note- some examiners pay for their own telephone service installs).
Also provide them with locking cabinets they can use during their work. , These rules are:
Most of their questions will be answered by your managers.
If your manager needs your assistance, you’ll be invited to a meeting with your manager and the auditor.
If the auditors "drop by" your cube with a question, remind them they’re supposed to schedule meetings through your manager.
If the auditor ignores this request and asks you questions anyway politely explain that they have to speak to the manager first and direct them to the manager.
About the Author
Patrick Johnson
Creates helpful guides on lifestyle to inspire and educate readers.
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