logo-newlogo-newlogo-newlogo-new
  • Home
  • Blog
  • Audit Trail Academy
  • Advisory Services
  • Books
✕
  • Home
  • Chambers on Internal Audit
  • Uncategorized
  • Repairing a Broken Relationship in Your Internal Audit Department

Repairing a Broken Relationship in Your Internal Audit Department

Five New Year’s Resolutions Every Internal Auditor Should Make for 2014
January 6, 2014
Good Internal Audit Leaders Encourage Others to Lead
January 20, 2014
January 13, 2014

Throughout my career, there have been times when I joined a new internal audit function and it quickly became apparent that the chief audit executive (CAE) operated in a very different way than what I was accustomed to. In some cases, the CAE had a different style or preference for communicating with clients. In other cases, the CAE was a stickler on technical issues such as how findings should be communicated, how working papers should be assembled, or which words to ban from audit reports. In most instances, I was simply able to adapt to the CAE’s preferred style or philosophy. After all, the CAE was the boss, and I was obliged to take direction from him or her. (Still, I tried to work subtly to influence his way of thinking or preference on technical issues — never pushing too hard, lest I undermine the relationship and progress I was making.)

I suspect that all of us, at one time or another, will encounter a similar experience. Whether you’re the CAE or the staff auditor, in most cases you’re likely able to navigate the situation without the relationship becoming damaged or broken. But what happens when it does? What happens when a CAE decides that an otherwise talented internal auditor just doesn’t fit into his or her organization? Or when the relationship gets so bad that the CAE won’t even speak to the staff auditor?

Though I’ve been fortunate to never experience this first-hand, I’ve led many external quality assessments where I’ve witnessed this “broken relationship” scenario and the devastating effects it has on the organization. I’ve seen CAEs lose confidence in a member of their staff and otherwise capable internal auditors become marginalized, pushed into a cubicle, and assigned menial projects.

In some cases, this toxic environment persists for years, ending only when one party departs the organization. Meanwhile, the situation is not healthy for the internal auditor, the CAE, and certainly not for the internal audit function.

The good news, however, is that with a commitment by both parties, it can be turned around.

For a CAE who finds himself or herself in the situation described above, I suggest five steps to “rehabilitating” the relationship with your staff member and returning that person to the productive fold:

  1. Sit down and objectively chronicle the issues or events that caused the loss of confidence in your internal audit subordinate. (You may even find that you cannot remember the triggering event or events.)
  2. Take the time to document the individual’s strengths and weaknesses. The weaknesses will jump out at you. Don’t finish this exercise until you have documented five strengths.
  3. Forge a plan to communicate honestly and openly about the state of the relationship. Ask your organization’s human resources professional for assistance/advice.
  4. Agree on a plan to repair and rehabilitate the relationship. Set specific goals and agreed-upon measures. Be flexible in the specific solutions you propose.
  5. Communicate regularly and openly throughout the recovery process. If the relationship has any chance of recovery, communication will be a key factor.

For the internal auditor on the other side of the broken relationship, I offer this advice:

  1. Signal your interest in resetting the relationship. If the CAE doesn’t take the lead, propose the five steps above as a path to recovery.
  2. Never forget that the CAE is the boss. You may not like the person, but you won’t be effective until you resolve to take direction from him or her and adapt to the way the CAE wants to run the internal audit function.
  3. Take a critical look at yourself. These scenarios are rarely one-sided. Are you a hard worker? Are you poised, polished, and professional? Do you exemplify the values of the organization? If you solicit the CAE’s candid assessment, you are apt to hear things that will force you to take a close look at yourself.
  4. Commit yourself to getting “out of the dog house.” It will take hard work and a commitment to constantly exceed the likely low expectations of your skeptical CAE.
  5. If you believe the root cause of the problem is an absolute lack of respect or trust for your CAE, then resolve to leave the organization. Life is too short to work under such circumstances.

Broken relationships in internal audit departments are not uncommon. If you are caught up in one, resolve to make 2014 the year in which you repair the damage and put the past behind you.

As always, I’d like to hear your stories and additional thoughts on this topic.

Share

Related posts

March 13, 2023

New IIA Report Is a Timely Benchmarking Resource for Internal Auditors


Read more
May 16, 2022

THE STAGGERING TOLL OF COVID RELIEF FRAUD: WHERE WERE THE THREE LINES?


Read more
February 3, 2022

To Live a Life in Color, You May Have to Change Channels


Read more

Leave a Reply Cancel reply

Your email address will not be published. Required fields are marked *

What’s Trending

03-20-23

New Report Reveals Surprising Insights from Internal Audit Executives


03-13-23

New IIA Report Is a Timely Benchmarking Resource for Internal Auditors


03-02-23

6 Things Audit Committee Members Often Won’t Say to Internal Audit


Read More

Archive

  • March 2023
  • February 2023
  • January 2023
  • December 2022
  • November 2022
  • October 2022
  • September 2022
  • August 2022
  • July 2022
  • June 2022
  • May 2022
  • April 2022
  • March 2022
  • February 2022
  • January 2022
  • December 2021
  • November 2021
  • October 2021
  • September 2021
  • August 2021
  • July 2021
  • June 2021
  • May 2021
  • April 2021
  • March 2021
  • February 2021
  • January 2021
  • December 2020
  • November 2020
  • October 2020
  • September 2020
  • August 2020
  • July 2020
  • June 2020
  • May 2020
  • April 2020
  • March 2020
  • February 2020
  • January 2020
  • December 2019
  • November 2019
  • October 2019
  • September 2019
  • August 2019
  • July 2019
  • June 2019
  • May 2019
  • April 2019
  • March 2019
  • February 2019
  • January 2019
  • December 2018
  • November 2018
  • October 2018
  • September 2018
  • August 2018
  • July 2018
  • June 2018
  • May 2018
  • April 2018
  • March 2018
  • February 2018
  • January 2018
  • December 2017
  • November 2017
  • October 2017
  • September 2017
  • August 2017
  • July 2017
  • June 2017
  • May 2017
  • April 2017
  • March 2017
  • February 2017
  • January 2017
  • December 2016
  • November 2016
  • October 2016
  • September 2016
  • August 2016
  • July 2016
  • June 2016
  • May 2016
  • April 2016
  • March 2016
  • February 2016
  • January 2016
  • December 2015
  • November 2015
  • October 2015
  • September 2015
  • August 2015
  • July 2015
  • June 2015
  • May 2015
  • April 2015
  • March 2015
  • February 2015
  • January 2015
  • December 2014
  • November 2014
  • October 2014
  • September 2014
  • August 2014
  • July 2014
  • June 2014
  • May 2014
  • April 2014
  • March 2014
  • February 2014
  • January 2014
  • December 2013
  • November 2013
  • October 2013
  • September 2013
  • August 2013
  • July 2013
  • June 2013
  • May 2013
  • April 2013
  • March 2013
  • February 2013
  • January 2013
  • December 2012
  • November 2012
  • October 2012
  • September 2012
  • August 2012
  • July 2012
  • June 2012
  • May 2012
  • April 2012
  • March 2012
  • February 2012
  • January 2012
  • December 2011
  • November 2011
  • October 2011
  • September 2011
  • August 2011
  • July 2011
  • June 2011
  • May 2011
  • April 2011
  • March 2011
  • February 2011
  • January 2011
  • December 2010
  • October 2010
  • September 2010
  • August 2010
  • July 2010
  • June 2010
  • May 2010
  • April 2010
  • March 2010
  • February 2010
  • January 2010
  • December 2009
  • November 2009
  • October 2009
  • September 2009
  • August 2009
  • July 2009
  • June 2009
  • May 2009
  • April 2009
  • March 2009
  • February 2009

Contact Us

PO Box 1441
New Smyrna Beach, FL 32170

+1-407-463-9389
rchambers@richardchambers.com

About AuditBeacon.com

AuditBeacon.com is a resource center for internal auditors and risk professionals from around the world. In addition to more than 500 blogs authored by Richard Chambers, the site includes links to news and insights on internal audit and other information that illuminates the value of this important profession. AuditBeacon.com is provided as a service by Richard F. Chambers and Associates, LLC.

Copyright © 2023 Richard F. Chambers & Associates. All Rights Reserved.
  • Home
  • Blog
  • Audit Trail Academy
  • Advisory Services
  • Books