Every organization has its variety of personalities and mindsets, which creates a diverse workplace. While this may be great in terms of utilizing different perspectives and ideas, certain personalities can make an internal auditor’s job more difficult.

Although most employees might be cooperative and engaged, some may present challenges. They could be resistant to change, withhold information, or complicate the process unnecessarily. While navigating these situations can be difficult, it’s crucial to maintain a professional attitude and stay focused on achieving your audit objectives.

Whether you’re a new internal auditor or one with years of experience, situations like these can still be a challenge to your job or overall management system auditing experience. Let’s discuss several ways an internal auditor and your organization can manage challenging employees for a successful audit outcome.

Overcoming Employee Challenges

Regardless of Obstacles, Stay Professional

When handling difficult individuals, it’s essential to stay calm and professional. Avoid letting their behavior or emotions intensify any situations that arise. Keep your focus on the audit objectives and maintain a respectful tone. Remember, your goal is to identify areas for improvement, not to criticize or assign blame anyone— and it’s important to remind employees of this to avoid future conflict.

Define Audit Expectations & Clear Communication

Before an internal audit, it’s crucial to establish clear expectations with general employees. Outline the audit’s purpose, the information required, and how it will be used. Be transparent about the process and what is expected of them; communication makes a big difference with results. When people understand these details, they are more likely to cooperate.

Additionally, you can refer back to the defined audit objectives and purpose if questions arise during the audit. Above all, emphasize that the focus is on auditing the process, not the individuals who are involved.

Emphasize Objectives

Dealing with challenging individuals during internal audits can be distracting, as they may become argumentative, disruptive, or off-topic. However, it’s crucial to stay focused on the audit objectives and avoid getting caught up in personal attacks or unrelated debates.

If the situation gets out of hand and results in too much conflict, take a break and regroup before proceeding with the audit. Everyone should be focused on not only key objectives for the internal audit, but overall management system objectives that influence the workplace. If employees are contentious due to not being on the same page, it’s possible that more training or learning opportunities can improve the situation.

Hear What They Have to Say

If an employee is creating problems that are disrupting the internal auditing process, it’s possible that they have some unspoken grievances. Should this difficult individual raise a concern, address it quickly and professionally. Acknowledge their point of view, clarify the purpose of the audit, and offer a clear response. If needed and within the scope of the audit, take the time to investigate the issue further and follow up once you have more information.

The key here is not just communication. Active listening is essential when dealing with difficult individuals. Pay close attention to their words and strive to understand their perspective. Ask open-ended questions to encourage further dialogue. This approach will not only help you better understand their concerns but also show that you genuinely value their input.

Conclusion: Working Together for A Solution

Managing challenging employees during an internal audit requires patience, professionalism, and clear communication. By setting expectations upfront, staying focused on audit objectives, and actively listening to concerns, auditors can navigate difficult situations more effectively.

While diverse personalities can present some unnecessary challenges, addressing issues with respect and maintaining a solution-focused approach helps ensure a successful audit outcome. Ultimately, fostering an environment of transparency and understanding benefits both the audit process and the organization as a whole.

The ISO 9001 Group offers expert Internal Auditing services as well as ISO training courses for Internal Auditors. Contact us for more information and to begin improving your management system today.