0.1F.

Approach to the audit

(Psychological issues and Communication)
 Approach to the Audit
Session Plan

Format: Student led training & open discussion

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

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 Approach to the Audit

Team spirit & co-operation = successful audit

Auditors set the “TONE” for the audit.

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 Approach to 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.

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 Approach to the Audit

Relations between auditors and auditees

are 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

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 Approach to the Audit

Communications Process
Sender
encodes
Message

Recipient
decodes &
Feedback interprets

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 Approach to the Audit

Barriers to effective communication

Physical
Intellectual
Psychological

Find example for each of them

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 Approach to the Audit

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)

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 Approach to the Audit

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

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 Approach to the Audit

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

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 Approach to the Audit

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

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 Approach to the Audit

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

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 Approach to the Audit

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

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 Approach to the Audit

Cultural Sensitivities - examples

What is the private

Do I shake
space?
hands with
everyone?

Beware of offensive
gestures!
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 Approach to the Audit

Good Listening is ESSENTIAL

►Eliminate distractions

►Listen for content

►Suspend judgement

►Listen for themes

►Use spare time

►Seek clarification

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 Approach to the Audit

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

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 Approach to the Audit

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.

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 Approach to the Audit

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.

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 Approach to the Audit

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

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 Approach to the Audit

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!

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 Approach to the Audit

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

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 Approach to the Audit

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

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