Has this happened to you? Internal Auditor challenges Lead Auditor

[GStough]

Re: Has this happened to you?

Without knowing more about the situation at hand it's difficult to give advice... .

Well, I appreciate everyone's advice, but I was really just curious to see how other folks have handled similar situations, if they've had any.

Thanks again!

 

[Aaron Lupo]

Re: Has this happened to you?

If the issue was the auditor had what they considered a finding and I didn't agree I would let them know that it will not be a finding and these are the reasons why. If they felt strongly about it and were able to show the objective evidence as to why is should be a finding I would sit down and discuss with them.

Now, on the other had if the auditor had a finding and I didn't want to put it in the report because it was a senstive issue I would discuss withthe auditor and give them my reasons. However, I would make that it gets addressed.

 

[Sidney Vianna]

I will tell the IA that after discussing the situation with my boss, we both agreed and felt that it was not pertinent to this audit and would not be addressed at this time, but would be included in the next audit where it would be more appropriate.

I think that it is very important that, when you explain the rationale for your decision to the supporting auditor, that he understands why you made your decision. Most people will respect the lead auditor's decision, even if they do not agree with, if they understand why. So, he does not feel that his input and findings are being disregarded for spurious reasons, such as company politics. The easiest way to alienate a good auditor is to give them an impression that what they find is not valued and you can simply use your authority, as the lead auditor, to dismiss their comments.

 

[GStough]

I think that it is very important that, when you explain the rationale for your decision to the supporting auditor, that he understands why you made your decision. Most people will respect the lead auditor's decision, even if they do not agree with, if they understand why. So, he does not feel that his input and findings are being disregarded for spurious reasons, such as company politics. The easiest way to alienate a good auditor is to give them an impression that what they find is not valued and you can simply use your authority, as the lead auditor, to dismiss their comments.

There are unlying issues/reasons that I can't discuss here, but you are correct, Sidney, and I don't want to alienate this auditor because she is good and she'll understand the logic when I explain it to her. Heaven knows, I can't afford to lose her because good internal auditors are hard to find and keep around!

 

[ScottK]

Hey Gidget.

I have been in the situation and I agree with both Randy and Sidney in that I AM THE LEAD AUDITOR and it's up to me to make the final decision BUT it's best practice to explain your side and make sure you're understood when you have force that authority.
One of my auditors has been doing this stuff for just as long as me and we go back and forth all the time because he's the sort of person who likes challenging people. Sometime I give if he makes his point, sometimes I know a bigger picture than he does and he must just accept my judgement.

Similar to your situation he's been with the company longer and knows exactly where to look...But I'm more in tune with the company politics and take it as my job as to which battle to fight which battle to wait on.

We have a very good relationship because of this.

 

[Sidney Vianna]

Re: Has this happened to you?

I had to almost spank a recent team member who kept trying to hammer a client over some strictly 100% environmental issues when we were doing an OHS audit

It is hard to believe that someone so peaceful, easy going and respectful would have to resort to physical intimidation to straighten a supporting auditor....

 

[Sharon_Noble]

Being the Lead Auditor, and the only Internal Auditor in my company (besides my Manager, who audits my process) I have never had any issue with NCs that I have found.... HAHAHAHAH
But if I did I would certainly resort to violance to resolve the issue...........!

 

[GStough]

Hey Gidget.

I have been in the situation and I agree with both Randy and Sidney in that I AM THE LEAD AUDITOR and it's up to me to make the final decision BUT it's best practice to explain your side and make sure you're understood when you have force that authority.
One of my auditors has been doing this stuff for just as long as me and we go back and forth all the time because he's the sort of person who likes challenging people. Sometime I give if he makes his point, sometimes I know a bigger picture than he does and he must just accept my judgement.
Similar to your situation he's been with the company longer and knows exactly where to look...But I'm more in tune with the company politics and take it as my job as to which battle to fight which battle to wait on.
We have a very good relationship because of this.

Hey Scott.

Yes, I'm in exactly this spot at this time. She will have to trust my judgment because she wasn't privy to some of the "politics" of the issue she wants to press, but I was. :mg: And boy, did it leave a bad taste in the mouth! This is why it must wait until the next audit, where I can ask the right questions of the right persons to get the answers needed.

Again, I want to say thanks to everyone who has taken the time to offer advice and share their experiences. I appreciate it and will soak it all in to become a better lead auditor.