[MOAC]

So I have an interview coming up for NYS auditor’s position and one of the questions (from what I have researched is)

You asked a taxpayer multiple times for his/her books but he keeps stalling. He said he would give it to you tomorrow for sure, but then he doesn’t give you the books again. What should you do?

How should I answer it besides letting my supervisor know what’s been going on? Any text on that?

FAR May 2012 81 (lost credit, didn't sit for other sections.)
FAR 86 Aug 2015
AUD 85 Nov 2015
BEC 84 Dec 2015
REG 78 Mar 2016

Passed ALL sections in first attempt!!

[livealittle]

I work at a CPA firm and we have this issues All. The. Time. We document every instance of contacting the client. We like to use email as it gives a good paper trail. After a couple of times of this, we start copying the relationship partner for that client on the emails. Then, if there's still a problem, we turn it over to the partner to contact the client and handle it.

I do a lot of stepping into various partners' offices for a few minutes to “bring you up to speed on Client A” and they generally give me some guidance or direction or tell me they will take care of it.

BEC - 8/8/16
REG - 66, 77
AUD - 81
FAR - 9/8/16

[Andyred04]

Just keep billing them every time you inquire about their books. When they get a large invoice after your services are complete you won’t have any problems getting them to cooperate in future years 🙂

FAR: 80 (Gleim, Ninja Notes, Ninja MCQs)
REG: 87 (Gleim, Ninja Notes, Ninja MCQs)
BEC: 87 (Gleim, Ninja Notes, Ninja MCQs)
AUD: 8/27/16

PA Candidate

[Anonymous]

I'm not sure what the correct answer is, but just wanted to throw this out there: given that it's an interview for a state auditor position, it will probably be slightly different than what people experience in public auditing or tax, and part of what they may be looking for is to see that you recognize the difference. So, bear that in mind. For example, when you're studying for your AUD exam, you learn that if your client refuses to provide certain information, you may need to withdraw from the engagement or disclaim an opinion etc. As a state auditor, though, you can't just withdraw from the engagement. So, think through what you would do, in light of the different factors that affect state auditors.

I think what you said in your initial post – “Contact my supervisor” – is a good starting point, especially if you phrase it in the right way. I'd go with something like “Especially in my early years on the job, I would make my supervisor (or “you” if you're being interviewed by the future supervisor) aware of the issue and request his/her/your guidance and how to proceed with the issue.” Maybe continue with something like “I would recognize that their failure to provide their records could indicate an attempt to conceal fraud, or could simply be an indication of a failure to keep proper records, so would try to assess the likelihood of each based on their responses” or something like that. I'm just coming up with things in an effort to avoid a project I don't want to get started on, so not saying these are golden responses or the right answer, but I'd try for something that goes along that train of thought (but that's more accurate than my ramblings probably are 🙂 ).

[taxgeek83]

Adjust the return and send him a bill. That will get his attention. 😉

[monikernc]

Quoting the statute as a gentle reminder can get things moving.

FAR 7/25/15 76!
AUD 10/30/15 93
BEC 2/27/16 82
REG 5/23/16 88!
Ninja Book and MCQ and the forum - all the way!!!
and a little thing i like to call, time and effort!
if you want things to change, you have to do something different

[MOAC]

Thank you everyone for your reply.

I don't think govt bills taxpayers when auditing them, right?

@ Lilla. That was helpful. I am also thinking to say something along those lines.

FAR May 2012 81 (lost credit, didn't sit for other sections.)
FAR 86 Aug 2015
AUD 85 Nov 2015
BEC 84 Dec 2015
REG 78 Mar 2016

Passed ALL sections in first attempt!!

[MOAC]

Thank you everyone for your reply.

I don't think govt bills taxpayers when auditing them, right?

@ Lilla. That was helpful. I am also thinking to say something along those lines.

FAR May 2012 81 (lost credit, didn't sit for other sections.)
FAR 86 Aug 2015
AUD 85 Nov 2015
BEC 84 Dec 2015
REG 78 Mar 2016

Passed ALL sections in first attempt!!

[MOAC]

@monik what's does the statute say? or from where can I find it?

FAR May 2012 81 (lost credit, didn't sit for other sections.)
FAR 86 Aug 2015
AUD 85 Nov 2015
BEC 84 Dec 2015
REG 78 Mar 2016

Passed ALL sections in first attempt!!

[August]

I work as a revenue agent and we are responsible for ensuring that the income on a return is correct and must be able to prove or substantiate any adjustments that we make to increase a taxpayer's taxable income. The courts have ruled that “deductions are a matter of legislative grace” and it is the taxpayer's responsibility to substaniate that they are entitled to any deductions on their return. If a taxpayer delays and won't provide records, I will obtain copies of his bank records by summonsing the bank so I can verify that he hasn't underreported his income and then disallow any deductions that he has failed to substantiate that he is entitled to.

[Author]

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