ISO 9001 Lead Auditor Training

Module 6 Conducting On-site Activities

6.1.2   Communicating During the Audit
Depending upon the scope and complexity of the audit, it can be necessary to make formal arrangements for communication within the audit team and with the auditee during the audit.

ISO 9001 Auditor Training - The audit team should confer periodically to exchange information, assess audit progress and to reassign work between the audit team members as needed.
During the audit, the audit team leader should periodically communicate audit progress and any concerns to the auditee and audit client, as appropriate.

Evidence collected during the audit that suggests that an immediate and significant (e.g., safety, environmental or quality) should be reported without delay to the auditee and as appropriate to the audit client. Any concern about an issue outside the audit scope should be noted and reported to the audit team leader, for possible communication to the audit client and auditee.

Where the available audit evidence indicates that audit objectives are unattainable, the audit team leader should report the reasons to the audit client and the auditee to determine appropriate action. Such action may include reconfirmation or modification of the audit plan, changes to the audit objectives or audit scope or termination of the audit.

Any need for changes to the audit scope that can become apparent as on-site audit activities progress should be reviewed with and approved by the audit client and, as appropriate, the auditee.

ISO 9000 Training - Auditing deals with people. People are unpredictable in their behavior, emotions, and dispositions. A good auditor must know how to interact and get the information from people in an effective manner.

6.1.2.2    The Audit Interview
Perhaps the biggest challenge for the auditor is that finding out information depends, among other things, on communication skills. Within a very short time of meeting someone, the auditor needs to have developed a degree of rapport with that person to obtain the facts essential to the investigation, while remaining objective. If these facts are indicative of a lack of management control in the area, then the auditor needs to be tactful in the way these findings are presented.

The main method of soliciting information is by asking questions in a series of interview situations. Though it is not always appreciated, the best interviewers are those who say the least and have an ability to listen or hear what is being said. By combining this with the right kind of attitude and tone, the auditors generate the kind of atmosphere in which good communication can take place.

It has been noted that the auditor needs to interview the right people, that is the people who have control over the aspect of the system being audited. Thus it would be wrong to ask the Purchasing Manager how Design is managed (unless of course the manager was responsible also for that).

ISO 9001 Auditor Training - The interviewee (the auditee) must not feel threatened by the auditor. Many people are easily intimidated by auditors. The auditor can avoid generating this kind of feeling by being polite, patient, slightly informal, and not afraid to smile. Showing interest in what people say is essential.

Holding a degree of eye contact, along with small verbal acknowledgements, “I see”, “ah”, “yes”, and so on, will show that the transmission is being received, as will the right facial expression and head movement. There are no recommended facial expressions or head movements recommended to obtain information; each auditor will develop their own style.

It often happens that the auditee, because most of them are human, misunderstands a question or is determined to tell the auditor about some other matter. They may even say something that the auditor knows not to be true. If the auditor interrupts abruptly, or directly contradicts the auditee, easy communication will not continue.

At the end of the interview, the auditor should thank all the auditees for their help and time, regardless whether it was beneficial or otherwise. 

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