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Company Confidential
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The Human Side of Auditing
July 18 - 19, 2013
Richard C. Randall
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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QMS 2008 Principal Auditor (IRCA)
AS9100 Aerospace Auditor (RAB/QSA)
Certified NLP Practitioner
Certified Life Coach (LCI)
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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What is the Human Side of Auditing?
1 – Recognizing and using the various communication styles (or “modalities”) of auditees.
2 – Utilizing active listening skills along with body language.
3 – Navigating "Distortions, Deletions and Generalizations" from auditees.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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What is the Human Side of Auditing?
4 – Recognizing and changing auditeeperceptions (“frames”) during an interview.
5 – Understanding the principles of “Pacing and Leading” an Auditee from an unproductive, negative “frame” to a productive, positive “frame”.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Auditee PresuppositionsWe all have “programs” we run in our
minds that create habits and behaviors. Participating in an audit often triggers
“programs” in auditees to be apprehensive, defensive, reserved,
fearful, and perhaps even threatened.
This can lead to inefficient / unproductive audits.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Creating Presuppositions
A Presupposition (Assumption) is learned.
The Presupposition is linked to a “trigger”.
The “trigger” evokes an emotional state -which will dictate action(s) / behavior.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Better Audits through using NLP
NLP (NeuroLinguistic Programming) is the study of these human “programs”. This presentation will describe various NLP
techniques to trigger positive “programming” conducive to a more
productive audit.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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How does NLP Work?
As one example, humans process “negatives” very poorly. For instance:
DON'T think of a Pink Elephant
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Speak PositivelyIn order to comprehend a “negative”, we must first
create the image – or experience – and THEN
delete it.
By then it’s too late. The negative image or
experience is already in our mind - along with it’s
emotional state!
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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NLP is Essential for Effective Communication
NLP is a powerful communication tool – for those who THINK before
they speak.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Communication Modalities• Visual – “Do you see what I'm saying?”
• Auditory – “Clear as a bell.”
• Kinesthetic – “That feels right to me.”
• Olfactory – “That idea stinks.”
• Gustatory – “That is a sweet idea!”
Practice interviewing auditees
using different modalities
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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An Audit is Primarily Auditory
Just as some people perform poorly taking written tests, Visual and Kinesthetic people may perform
poorly in an audit.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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The Modalities of Concentrating
Observe use of the 3 Major Modalities (VAK) when an auditee is considering your
questions.
Visual: Focuses on printed words or pictures
Auditory: Internally discusses the problem and possible solutions in their head
Kinesthetic: Moves around, fiddles with pens and pencils, touches unrelated things.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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The Modalities of Auditing
After noticing how an Auditee forms answers, adjust to their dominant
modality.
Visual: “Would you show me… ?”
Auditory: “Can you tell me… ?”
Kinesthetic: “Would you demonstrate for me… ?”
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Understanding the Auditee
Recognizing the various communication styles (or
“modalities”) of auditees (which is sometimes part of an organization’s culture), the Auditor should adapt to best match that communication style.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Understanding the Organization
Every organization has its own culture and colloquialisms. Listen for and use that organization's colloquialisms to
build rapport with its staff.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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FramesA “Frame” is how we perceive a given
situation.
An Auditee may feel apprehensive, defensive, reserved, fearful, and
perhaps even threatened when being interviewed.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Reframing – with “Imagine...”
“Imagine” is a powerful word. It can take one into a different state (or “frame”). For
example:
“I'm here performing your ISO 9001 audit and just wanted to get an overview of your process. Imagine that I'm a new
employee and you're training me in this process...”
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Reframing – Position of Authority
“Imagine that I'm a new employee and you're training me in this process...”
The auditee is now in the position of authority dictating how the process is performed to the auditor.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Using “Imagine” with a Kinesthetic Auditee
“Imagine that I'm a new employee and you're training me in this process. Would
you walk me through performing this process?”
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Re-Framing – AcceptanceEveryone wants approval / acceptance.
When encountering a “closed” / reserved (fearful) Auditee, “break state” by asking
them:
“So... where did you grow up?”
Where ever they're from, follow this by stating: “Everyone from _____ is always
so nice!”
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Re-Framing – Acceptance
Most people are proud of the culture they grew up with (their “tribe”). So indicating approval of their “tribe” (as being nice) is
projecting a presupposition that the Auditee is also a nice person. With your acceptance, they can now relax and get
on with the audit.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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“Reality” MapsEvery individual creates a “representational map” of how they perceive reality. Because humans can only process a limited amount of data, our minds:
Distort
Delete
Generalize
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Active Listening
Listen for Distortions, Deletions and Generalizations. And ask for clarifications.
Before you think about your next question, REPEAT back to the auditee
what you “think” you heard.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Albert Mehrabian’s 1970 study
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Body Language
Can you recognize whether an auditee's body language is
congruent with the processes described?
Can changing your body language calm an Auditee?
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Building Rapport
Take 2 minutes before interviewing each Auditee to notice and comment on their surroundings to build rapport(speak the same language – through
words, tonality & physiology).
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Mirroring
Mirroring is simply the process of mimicking subtle behaviors within
whomever we are communicating in order to build rapport.
Be aware that mirroring must be subtle as to appear to be
unconscious!
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Mirroring TechniquesSpeech patterns
Body language
Vocabulary style or specific choices of words
Pace, tempo, pitch, tone, volume
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Putting these Techniques to Work
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The Opening Meeting – Tip 1 Re-framing Relationship
Emphasize the word “Partnership”.
“This is a partnership between the organization and the registrar…” (clasp
hands as a visual representation)
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The Opening Meeting – Tip 2 Re-framing the Audit
Use the metaphor of the audit being like an annual physical. You want to ensure that your organization is healthy. And if there
are any issues, you want to find out before they become major issues.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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The Opening Meeting – Tip 3
Request the Guide to provide a chair, when in an office setting, that will place your eye level below the Auditees. Rather than the
Auditor literally looking down on the Auditee, the Auditee is looking down at the
Auditor. This often calms Auditees.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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The Opening Meeting – Tip 4
Ask “What would make this audit MOST beneficial to you?”
Encourage the client to give examples and details in answering this question.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Issuing CARs – Tip 1
Many Auditors attempt to avoid a potential confrontation by using descriptors such as
“Kinda” or “Sorta”.
These words communicate weakness in your ability as an Auditor. Remove these
words from your habitual vocabulary.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Issuing CARs – Tip 2
Where a client disagrees with a nonconformity, assume a “third” position in
the discussion in order to gain a more objective perspective.
If a co-auditor is available, bring them into the discussion.
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Issuing CARs – Tip 3
Once a nonconformity is clearly identified, shift discussion to how the client is going to
address the issue (the Solution) rather than continuing to justify it as an issue.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Pacing & Leading
Pacing and leading is an NLP strategy used to re-direct a person from one frame to another. Pacing is to “get into” the same frame as the other person. Leading is to
re-frame.
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Pacing (from a negative) &Leading (to a positive State)
Pace, Pace, Pace, Lead
(Mirror to build rapport)
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Scenario – Your Audit Team
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Dr. Sheldon CooperTheoretical Physicist and
Auditor. He is:
• Pedantic
• Elitist
• Arrogant
• Derisive
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Gunny Sgt.USMC Ret. and Auditor.
He is also:
• Pedantic
• Elitist
• Arrogant
• Derisive
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Dr. Sheldon CooperAudit Style:
• Prefers reading SOPs
• Prefers staying in Conference Room
• Limits personal interactions
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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Gunny Sgt.Audit Style:
•Deplores reading SOPs
•Prefers auditing on floor
•Enjoys personal interactions… especially. telling War Stories
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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•Discussion – How to Manage Team
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Summary1 – Communication styles (or “modalities”)
2 – Active listening skills & body language
(e.g., Mirroring)
3 – Distortions, Deletions and Generalizations
4 – Frames & Re-Framing
5 – Pacing and Leading
RMC Workshop Indianapolis, IN 18 – 19 July 2013
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