Ground Rules for Successful Audit Team Collaboration

Collaborative doesn’t mean chaotic. In Radical Candor, I talk about the GSD Wheel - a cycle that helps teams listen, clarify, debate, decide, persuade, and execute together. But none of that works without one crucial element: ground rules. One of the most powerful things a leader can do is set clear expectations for how decisions get made and how disagreement gets handled along the way. I’ve worked with teams where every decision felt like a battle. I’ve also worked with teams where decision-making felt energizing and inclusive. The difference? Clarity. A few ground rules I’ve seen work well: — We make space for dissent before we decide. — We separate debate from execution. — We don’t let urgency override inclusivity. They may sound simple, but these expectations can transform how your team collaborates under pressure. What’s one ground rule that’s helped your team make better decisions? :) --- Follow Kim Scott and Radical Candor® for more tips on leadership, collaboration, and building a culture where everyone can thrive.

“And WHY do you need this?!” I haaaaaated getting that question back in my early audit days….but it helped me become a better partner to our clients, both then and on the Audit Prep side now. When a company gets the audit request list, it can be a doozy 😵💫 Numerous requests over multiple areas of the company, and the requests can be vague and confusing. “Revenue Report”? “Stock Comp Amortization Schedule”? Wtf do these even mean?? It takes time to find each item. The accounting team will then send what they think is the right info, only for it to come back from the auditors with questions and follow-up for missing data. With that back-and-forth, it’s no surprise that an audit can get heated pretty quickly. This is where communication and collaboration between teams is critical. Accounting teams: - Don’t know what the auditors are requesting? Ask upfront to confirm what’s needed and avoid rework. - That specific revenue report you prep for management may not have the fields/format that auditors need for their testing. - Auditors need reports with amounts that easily reconcile to the GL, or a specific item/entry. Otherwise, they’ll come back with questions. Auditors: - A tailored request list that excludes N/A topics can reduce a client’s efforts and is appreciated. - For key request items, reduce uncertainty by noting specific parameters, fields and formats. - Identify which requests take priority for audit progress, and which are okay to be delayed. - When clients push back on certain requests, collaborate to find alternative reports/files that are easier to provide and still get the info you need. Working through audit requests is always a tough time. But when both sides work together to find the best path forward, it leads to less hours, better relationships, and a smoother audit for both sides.

In over 20 years of coaching, I’ve facilitated countless meetings, all guided by core principles. One key practice is establishing ground rules to ensure focus, productivity, and safety. Five essential rules are: 1) the Vegas rule, ensuring confidentiality; 2) addressing issues, not people; 3) using "yes, and" to build on ideas; 4) ensuring equal airtime for all voices; and 5) entering difficult conversations. These rules create a safe environment, encouraging open communication and tackling issues that lead to meaningful progress.