Difficult auditees and auditors

How do organisations assure themselves that they have appropriate control measures in place?

Internal Audit

The Board of Directors

Management, Directors and Internal Audit

External Audit

What is the assurance model called?

Corporate Governance

Management assurance

Internal Audit assurance

Three lines of defence

What is the principal reason the relationship between CEO and HIA is so important?

It enables discussions on emerging and future issues and the audit response needed

The CEO is able to tell the HIA what to do

The HIA can find out what is happening in the market place

The HIA can discuss problems about internal audit delivery

What shouldn’t be impacted by the CEO/HIA dialogue?

What is reported to the Audit Committee

Auditor independence

Budgeted audit expenditure

Timing of internal audits

Discussions between CEO and the HIA should include consideration of what?

The number of recommendations

The overall report rating

Whether risks have been mitigated to an acceptable level

The priorities of the actions

What are the four steps to eliciting Cooperation?

RIPE: Respect, Inclusion, Pressure, Ease

ROPE: Relationship, Offer, Patience, Engagement

POPE: Pressure, Omission, Pretence, Escape

REAP: Respect, Engage, Audit, Plan

How can you ensure an agreement has been reached?

Ask them if they agree

All views were heard, respected and included

Telling them what to do and asking them to comply

Writing down everything that was said

What is the best way to approach working with a difficult person?

Give them an incentive

Send them a memo with your expectations

Report them to get compliance

Clear the air first

When things go wrong is it important to -

Engage them as humans not as auditees?

Tell their line managers what they have done?

Ascertain who is to blame?

Work around them and exclude them?

What one thing might you do when you feel under pressure to get a response?

Make a new plan to get things done

Let them know what I expect forcefully

Take an internal barometer reading to monitor my approach

Send a memo to the whole department

Difficult auditees and auditors

How do organisations assure themselves that they have appropriate control measures in place?

What is the assurance model called?

What is the principal reason the relationship between CEO and HIA is so important?

What shouldn’t be impacted by the CEO/HIA dialogue?

Discussions between CEO and the HIA should include consideration of what?

What are the four steps to eliciting Cooperation?

How can you ensure an agreement has been reached?

What is the best way to approach working with a difficult person?

When things go wrong is it important to -

What one thing might you do when you feel under pressure to get a response?

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