Sofema Aviation Services (SAS) www.sassofia.com considers essential elements in the EASA Compliance Auditors toolbox of people skills.
Introduction: Considering the Audit Interview
The development of interviewing skills is paramount in auditing. As an auditor, conducting a successful interview allows you to gather essential information from the auditee gently and encouragingly.
Here, we delve into the best practices for interviewing and audit communication, highlighting the significance of these skills in ensuring a thorough and effective audit process.
The Importance of Interviewing Skills
- Interviewing is not just a task but a skill that improves with practice.
- The primary objective of an interview is to obtain as much relevant information as possible from the auditee.
- This information is crucial for verifying and validating processes and procedures.
- While verbal information gathered during interviews can be highly valuable, it is important to remember that it remains hearsay and is of limited value unless this information can be corroborated.
Note – however, it may still serve as a useful check against your expectations and understanding of the process.
The Right Environment for an Interview
The setting of an interview plays a critical role in its success. It must be in a quiet, comfortable environment where both the interviewer and the interviewee can converse as equals.
- To maintain this sense of equality, ensure that both parties are seated at the same eye level.
- This setup fosters an atmosphere of respect and openness, which can encourage the interviewee to share information more freely.
Conducting the Interview
Putting the interviewee at ease is vital to conducting a successful interview. Display a relaxed demeanour, use a neutral tone of voice, and adopt neutral body language.
- This approach helps to alleviate any nervousness the interviewee might feel, which can otherwise affect their memory and willingness to answer questions.
Keeping the Information Flowing
Effective interviewing involves asking open-ended questions that prompt interviewees to explain processes and share their experiences.
- Avoid interrupting the interviewee unless they stray off-topic.
- Questions such as “What is the biggest issue you have with manpower control or documentation?” can help uncover potential non-conformities and provide insight into the auditee’s perspective.
- When the conversation slows, ask positive-leaning questions like “If you could make two or three improvements, what would they be?”
- This approach reveals weaknesses and demonstrates a focus on compliance and continuous improvement.
Effective Audit Communication
Effective communication is the cornerstone of a successful audit. It ensures the receiver understands the exact information or idea the sender intended to transmit.
- Many organizational problems stem from poor communication, leading to confusion and failed plans.
- When a message is transmitted, both content and context are received. It is crucial to understand that hearing and listening are not the same.
- Hearing is the act of perceiving sound, whereas listening involves decoding the sound into meaning.
The Art of Listening
Listening is a selective activity that involves the reception and interpretation of aural stimuli. It is divided into passive and active listening.
- Passive listening occurs when the receiver has little motivation to listen carefully, such as when listening to music or television.
- In contrast, active listening involves consciously understanding and interpreting the message.
Ensuring Understanding
Simply providing information is often insufficient. It is important to ensure that the information has been received and understood.
- Messages should include an element of positive acknowledgement and feedback to confirm comprehension.
Communication within the Organizational Management System
Developing effective communication methods within the organization’s management system is essential. A communication audit evaluates the organization’s ability to deliver information across all levels.
- This audit examines internal mechanisms and can also assess external communications, such as those with subcontract service providers.
Trust Processes in Communication
Building and maintaining trust processes within the organization’s management system is crucial.
- Managers must fully understand and communicate the management system initiatives and objectives to their staff.
- Employees should be aware of the organization’s strategic safety system goals and objectives and the reasons behind them.
- This understanding can be evidenced through signed job descriptions and other documentation.
Measuring Communication Success
Effective communication processes should be measurable.
- A communication audit provides a snapshot of the organization’s communication strategies, activities, and programs.
- It reviews existing communication policies, publications, and other information distribution methods, highlighting strengths and weaknesses.
Delivering Audit Findings
Audit findings should be formally presented in a manner that ensures effective understanding.
- The choice of words and the tone of the message are critical.
- Using neutral language promotes positive change and increases the likelihood of an acceptable response and appropriate corrective action from management.
Key Principles of Effective Communication
- Accuracy: Communications must avoid errors and distortions, focusing on underlying facts.
- Objectivity: Avoid bias and speculation. Communications should be fair, impartial, and based on a balanced assessment of all relevant facts.
- Clarity: Ensure communications are easily understood and logically presented, avoiding unnecessary technical language.
- Constructiveness: Maintain a constructive tone. Negative comments do not add value and should be avoided. Present findings, not solutions.
- Completeness: Provide all important information to ensure a full understanding. Avoid step-by-step delivery of findings.
- Timeliness: Deliver findings promptly to avoid delays in raising awareness of issues.
Next Steps
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Interview, SAS blogs, best practices, EASA Compliance Auditors, People Skills, Audit Communication, Interviewing Skills, Effective Audit, Art of Listening, Organizational Management System, Accuracy, Objectivity, Clarity, Constructiveness, Completeness
