ISO 9001 Lead Auditor Training

Module 6 Conducting On-site Activities

6.1.2.3  Questioning Techniques
Any audit carried out anywhere has an objective. Auditors who lose sight of this will not be effective. They are better off asking two questions than lose their way because they asked only one. The quality of the audit can be considered in terms of achieving the audit objectives. The ability to discover information of relevance (facts related to the audit objective) is dependent on the ability to ask the right questions.
ISO 9001 Auditor Training - The apt quotation below, though in danger of being over quoted, so suitably and elegantly encapsulates the basis of all successful questioning:

Elsewhere, particularly in quality training, they are called 5 W's and an H. Although a clumsy description, the idea is the same.
Questions beginning with these words will elicit more than just Yes or No answers and are, therefore, called open questions. It takes longer to answer such a question than it does to ask, so the auditor also gets some thinking time.
Auditors can control the tone of discussions to their advantage with the use of these questions since the questions demand meaningful answers. It is impossible to correctly answer an open question with a Yes or No response.
There are different types of questions:

Themed questions set a theme quite clearly before posing a question, e.g.,
“Talking of software validation, how do you … ?”

Expansive questions expand the conversation and create a high level of empathy because they show the auditor is interested in the points the auditee has put forward. It can often clear up vague areas for the auditor, as well as, clarify the auditee's perception, e.g.,
“How important is it for you to be advised of this type of procedure?”
“Why do you feel there is a need for … ?”
“How can you be certain the supplier can deliver … ?”
“What areas are you thinking of?”

Opinion questions are often neglected. There is a danger in straying too far from fact, but this type of question can be very useful for gaining someone's attention or for gaining new approaches to problem solving. They indicate that the auditor regards the auditee's view as important, thereby raising the auditee's self image, plus they encourage the auditees who regard themselves as the local expert to say more. They can also encourage junior people in an organization to say more.
“What do you think would be the most effective … ?”
“How would you go about … ?”

Investigative questions are most useful when the auditor is not sure whether the auditee has fully understood what has been said, but avoids making it obvious that the auditor realizes the lack of understanding. The auditee can feel at ease and the auditor is able to clarify a point without embarrassing the auditee.
“Can you tell me why this unit marked with a red tag is on the pallet of finished goods tested OK?”

Non-verbal questions may seem to be a contradiction in terms, but questions do exist in this form. For example, the raising of the eyebrows while maintaining eye contact can indicate a wish for the auditee to continue. Also, remaining silent after you have been given an answer and continuing to look at the auditee in an expectant manner often encourages people to carry on talking without verbal interruption. Such a technique must be used with care to avoid the appearance of an interrogation.

Repetitive questions are used to gain time since they keep the conversation going. For example, an auditee might say, “I don't think a written procedure is necessary”, and the auditor asks, “You don't think a written procedure is necessary?” The auditee is obliged to answer the question.

ISO 9000 Training - This type of question should be used like the “dumb” question. No question should be considered too stupid for the auditor to ask if the audit objectives are going to be met. However, repetitive or dumb questions should be used sparingly. If overused, the repetitive questions can be seen as an inability to communicate, and too many dumb questions may cause the auditee to wonder whether it is deliberate or not.

Hypothetical questions should also be used with care. It is reasonable to ask people what they would do if an instruction is not received or if key individuals were unavailable. It is not reasonable to add together a complicated set of possibilities in the remote chance that this would possibly cause a problem. (We have all heard about the proverbial bus that seems to keep running people over!)

There is usually enough material in actual current practices without overdoing hypotheses. It can, however, be a good way of finding out what the priorities are and what sort of contingency planning has taken place in the system, for example,
“What if no calculations satisfied this equation?”
“Suppose the power failed?”

Closed questions are ones that can be answered Yes or No. They are assumptive and can be very powerful. They should only be used in audits where the Yes and No answer can quite definitely be given because of what has gone before. They should be used to verify that the auditor has clearly understood what has been explained.

ISO 9001 Auditor Training - If an auditor wants a commitment from someone, for example, “Ha the rate of customer complaints has risen” (Yes). “So if we examined the causes of these complaints and took action we could reduce them?” (Yes). Such questions can also save time, although they should not be used for this reason alone on an audit.

Another type of closed question is the leading question that is used when a quick reply is required and the auditor wishes to suggest the right answer. For example, “So you will go ahead with this corrective action and report back within two weeks?” In this way, the auditor leads the question to an obvious answer and (probably) gets commitment to the preferred line of action.

Leading questions are common in bad audits and rare in good ones. The auditor should not lead the auditee to an answer except perhaps after exhaustive attempts have been made to reach a conclusion by other means.

A number of organizations find that an understanding of these questioning techniques is particularly useful prior to undergoing an external audit by a second or third party. While making no recommendation here of such a practice, it is true to say that if an auditee answers precisely and only the question the auditor asks, the auditor has to work very hard. Some auditors complain of such a tactic. Who is at fault?

Without doubt, the ability to ask questions of the right type is one of the most powerful tools in the auditor's toolbox. It is taken for granted as a management skill, but auditors must learn to identify and use the appropriate techniques. In this way, they will improve communications and conduct more effective audits.

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