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Audit Interviewing Techniques and Tools

Audit Interviewing Techniques and Tools. Presented by Gene Hall, Virginia Diane Robichaud-Cormier, New Brunswick Constance Owen, JJ Keller & Associates. Introduction:. Why do an opening conference? Required by IRP and IFTA IFTA AUDIT MANUAL “A630 OPENING CONFERENCE”

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Audit Interviewing Techniques and Tools

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  1. Audit Interviewing Techniques and Tools Presented by Gene Hall, Virginia Diane Robichaud-Cormier, New Brunswick Constance Owen, JJ Keller & Associates

  2. Introduction: • Why do an opening conference? • Required by IRP and IFTA • IFTA AUDIT MANUAL “A630 OPENING CONFERENCE” • IRP AUDIT PROCEDURES MANUAL “Section 602” • The importance of the opening conference • Opening Conferences should be held regardless of whether the audit is performed at the jurisdiction’s office, the carrier’s office, or at an agent’s office • How and when to deal with reporting services

  3. Preparing prior to the opening conference • Pre-Audit Questionnaire • Examples • Can be completed by mail, by phone or in person • Review jurisdiction information • Contact Carrier • Establish a main contact and a backup contact • Confirmation in Writing • Determine the following • Sample period selection. • Sample vehicle selection • Obtain signature on sampling agreement and projection of audit results during opening conference

  4. What Auditors Can Do • Explain the audit process to the carrier at the beginning • Establish cooperation with the carrier • Understand the carrier’s business. • Discussion: why an extension may be signed at an opening conference

  5. Audit Interview Techniques • Address the auditee’s concerns and questions • Ask the same questions but in a different way to confirm the answer • Ask open-ended questions • Try to get the auditee to paint you a picture • Don’t just use / read a scripted form • Follow the trail wherever it leads • Examples of some issues / questions that might come up • Examples of questions that a carrier could ask the auditor • How to deal with difficult carriers? • Discussion: different approaches

  6. What Industry Can Do • Carrier/Agents should provide clear parameters • Office hours, where an auditor is allowed, training on office machines and safety rules etc. • Give the auditor what they ask for • Keep notes on exceptions

  7. Conclusion: • Comments • Questions • Horror stories • Good examples from both government and industry

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