1.06.approach To The Audit

CQI-IRCA Certified PR 357:ISO 45001:2018
(OH&SMS) Lead Auditor Training Course
1.06.Approach to the audit

(Psychological issues and Communication)
Approach to the Audit
Session Plan
Format: Delegate led self learning
Objectives: Understand how positive approach to be followed for any audits
Understand relationship between auditor and auditee
Understand the soft skills required for an auditor for making audit a
successful process
Understand and develop interviewing skills for people at at various

levels of hierarchy
Understand various cultural, and psychological issues involved during

an audit and develop behavioural aspects during the audit
Feb’18 CQI-IRCA Certified PR357: ISO 45001:2018 (OH&SMS) Lead Auditor Training Course (Course ID: 1911) 2
Team spirit & co-operation = successful audit

Auditors set the “TONE” for the audit.
Key Success Factor: Auditor Attitude

MUST BE POSITIVE/VALUE-ADD
 I really am here to help.
 I am not here to find fault.
 We are on the same team.
 Together we can find

opportunities.
 This benefits the business.
Relations between auditors and auditees : critical for a successful

audit.
The auditor influences these relationships by:
1. Understanding the communications process

2. Minimizing barriers to communication
3. Creating the climate for good communications
4. “LISTENING” carefully to auditees
Communications Process
Sender
encodes
Message
Recipient
decodes &
Feedback interprets
Barriers to effective communication
Physical
Intellectual
Psychological
Find example for each of them
Create a Climate for Good Communications:
• Space (where are you auditing?)

• Timing (what time of day?)
• Eye contact (how much?)
• Body language (watch and control)
• Cultural sensitivities (research if necessary)
Space and Place considerations:

►Allow “personal” space
►Right location (auditees work space or

conference room?)
►Seating plan
►Minimum physical distraction
►Desk between people may be a barricade
►Auditor & auditees should be one team
Time Considerations:
► Leave auditees some time before you
arrive
► Respect auditees’ time & stay on
schedule
 Never too far ahead of schedule
 Never LATE
► Consider:
customary timings
meals
siesta
closing time
How much eye contact?

►Western communication culture requires a lot of
eye contact
►Elsewhere close eye contact may be offensive or
impolite
►Lack of eye contact doesn’t have to mean
attempt to hide information
70% of Communication is NON-VERBAL

Body language
► Postures, gestures, facial expressions
► Communicates mass of information
► Uncontrolled messages may upset auditee
► Common meanings
► Cultural differences
Cultural Sensitivities
►Audits may be carried out in
multi-cultural environment
►Be aware of cultural
differences & sensitivities
►Research specific issues
►Understand how to establish

rapport with auditees
Cultural Sensitivities - examples
What is the private

Do I shake
space?
hands with
everyone?
Beware of offensive
gestures!
Good Listening is ESSENTIAL
►Eliminate distractions
►Listen for content
►Suspend judgement
►Listen for themes
►Use spare time
►Seek clarification
Bad habits to avoid (i.e. not listening)
 Faking attention
 Pre-occupation
 Over-reaction ¡NO!
 Interrupting the speaker
 Listening without looking
 Listening only to what we want to hear
 Using listening time to collect the thought
Interviewing – A CRITICAL Audit Step

Interviews provide essential objective evidence.
Good communications are essential to good
interviews.
So, put the auditee AT EASE.
• Be Friendly.
• Explain why you are here.
• Ask for their help.
• Ask if they have questions.
• Show an interest in what THEY do.
• Explain your observations.
Interviewing Technique
►Interviews are not interrogations. Objectives?!
►Ask questions in conversational

manner.
►Weave questions into general
conversation.
►Do not cross question.
►Avoid question answer exercise.
Questioning Technique for Interviews

Questions should: Three Question types:
►yield relevant ►open questions
►closed and direct
information
questions
►not suggest answers ►clarifying questions
►not contain emotive
words or implications
Avoid leading questions
Don’t ask antagonising questions
Open Questions - auditor friends
What? Why? Where? Who? When? How?

► Yield informative answer
► Limits - conversation may get side-tracked!
► One way to avoid diluting:
Show me!
Closed and direct questions

►Closed questions - answer: Yes/No
►Direct questions - answer: few words
►Intended to yield very specific information
►Disadvantages:
 do not bring much information
 if used too often may create impression of cross -
examination
Clarifying Questions
►Intended to clarify, retrieve full information and
prevent misunderstanding
►Allow to grasp full picture
►Disadvantages:
 if used too often may create impression that you were
not listening
 are time-consuming
 if you are not prepared to listen in full don’t ask them

1.06.approach To The Audit

Uploaded by

Copyright:

Available Formats

1.06.approach To The Audit

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

1.06.approach To The Audit

Uploaded by

Copyright:

Available Formats

CQI-IRCA Certified PR 357:ISO 45001:2018

(OH&SMS) Lead Auditor Training Course

1.06.Approach to the audit

Format: Delegate led self learning

Objectives: Understand how positive approach to be followed for any audits

Understand relationship between auditor and auditee

Understand and develop interviewing skills for people at at various

Understand various cultural, and psychological issues involved during

Team spirit & co-operation = successful audit

Key Success Factor: Auditor Attitude

 I am not here to find fault.

 We are on the same team.

 Together we can find

Relations between auditors and auditees : critical for a successful

The auditor influences these relationships by:

1. Understanding the communications process

Barriers to effective communication

Find example for each of them

Create a Climate for Good Communications:

• Space (where are you auditing?)

Space and Place considerations:

►Right location (auditees work space or

►Minimum physical distraction

►Desk between people may be a barricade

►Auditor & auditees should be one team

How much eye contact?

70% of Communication is NON-VERBAL

► Communicates mass of information

► Uncontrolled messages may upset auditee

►Understand how to establish

Cultural Sensitivities - examples

What is the private

Good Listening is ESSENTIAL

►Listen for content

►Listen for themes

►Use spare time

Bad habits to avoid (i.e. not listening)

 Listening without looking

 Listening only to what we want to hear

 Using listening time to collect the thought

Interviewing – A CRITICAL Audit Step

►Ask questions in conversational

►Avoid question answer exercise.

Questioning Technique for Interviews

Open Questions - auditor friends

What? Why? Where? Who? When? How?

► Limits - conversation may get side-tracked!

► One way to avoid diluting:

Closed and direct questions

►Direct questions - answer: few words

►Intended to yield very specific information

You might also like

Pfad - The Proxy pFad of © 2024 Garber Painting. All rights reserved.