60 European J. International Management, Vol. 3, No. 1, 2009
Copyright © 2009 Inderscience Enterprises Ltd.
Auditor independence and corporate governance:
ethical dilemmas
Waymond Rodgers
A. Gary Anderson Graduate School of Management,
University of California,
Riverside, CA, 92521, USA
E-mail: waymond.rodgers@ucr.edu
Andrés Guiral* and
José A. Gonzalo
Facultad de CC.EE y Empresariales,
University of Alcalá,
Plaza de la Victoria 2,
Alcalá de Henares 28802, Madrid, Spain
E-mail: andres.guiral@uah.es E-mail: josea.gonzalo@uah.es
*Corresponding author
Abstract: Auditors’ primary function in society is as purveyors of opinions for
reliable and relevant information. Many company failures have highlighted
whether auditors have a conflict of interest problem. At the root of auditors’
lack of independence, issues are conflicts of interest resulting from the
structural features of auditor–client relationship. The throughput model is
advanced in order to explain how six dominant ethical positions deal with
conflicts of interest problems and corporate governance issues. Finally, a
discussion of potential solutions to improve ethical issues is offered for
future research.
Keywords: auditing; conflicts of interest; decision-making; ethics; throughput
model; warning signals; going concern opinion.
Reference to this paper should be made as follows: Rodgers, W., Guiral,
A. and Gonzalo, J.A. (2009) ‘Auditor independence and corporate
governance: ethical dilemmas’, European J. International Management,
Vol. 3, No. 1, pp.60–74.
Biographical notes: Waymond Rodgers, PhD, is a CPA and Professor in
the A. Gary Anderson Graduate School of Management, University of
California, Riverside, USA. His experiences include working as an auditor with
Ernst and Young and PriceWaterhouseCoopers as well as a commercial loan
officer with Union Bank. His primary research areas are auditing, commercial
lending decisions, decision modelling, ethics, trust issues, intellectual capital
and knowledge management. He has published in the Accounting & Finance,
Communication of the ACM, European Accounting Review, Journal of
Business Ethics, Journal of Applied Social Psychology, Journal of Economic
Psychology, Management Science, among other journals.