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Establishing Relationships (print ref: Part 4, Section 3.4)
We have already said that a large part of auditing involves gathering information by asking people questions. This process will be made much easier and quicker if the Auditor can quickly establish a relationship with the auditee right from the beginning. The following techniques should help Auditors with establishing relationships:
- Developing an interest with sincerity and friendliness: People always respond better if they feel that you are interested in what they are doing or saying.
- Making the auditee the central figure: Ensure that the auditee has ample opportunity to provide you with the information sought.
- Recognising their own prejudices: What you see may not correspond with the way you would like to see things done. However, your job is to check that it is being done the way the organisation wants it, and it complies with the requirements of the Data Protection Act.
- Being careful in giving advice: The main reason you are there is to function as an Auditor, not a consultant.
- Recognising that people only hear what they want to hear: We are all guilty of this so make double sure that your comments are understood. Ideally, the major points you are trying to get across will be written down either on a Non-compliance Report or the final Audit Report so there is no uncertainty or ambiguity.
- Listening to understand: Don't just hear the words being said but make sure you understand the meaning behind them.
- Being sensitive to feelings, attitudes and motives: Inter-personal sensitivity is a key skill in activities like Auditing as it involves so much one-to-one interaction with people.
- Responding in a neutral manner: Remember to be impartial.
- Repeating or rephrasing something they have said: The best way of checking that you have understood something is to try and say it back to the auditee in your own words.
- Using questions carefully: You will have spent a long time preparing your checklist questions if you are conducting a Process Audit, so make sure they are used effectively.
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