Breakout 1-The Human Side of Auditing - SAE International · What is the Human Side of Auditing? 1...

Company Confidential

Registration Management Committee

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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)



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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.



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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”.



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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.



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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.



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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.



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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



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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!



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NLP is Essential for Effective Communication

NLP is a powerful communication tool – for those who THINK before

they speak.



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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



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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.



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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.



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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… ?”



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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.



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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.



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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.



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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...”



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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.



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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?”



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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!”



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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.



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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



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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.



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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?



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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).



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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!



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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.



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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.



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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.



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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.



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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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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.



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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.



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Pacing (from a negative) &Leading (to a positive State)

Pace, Pace, Pace, Lead

(Mirror to build rapport)



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Scenario – Your Audit Team



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Dr. Sheldon CooperTheoretical Physicist and

Auditor. He is:

• Pedantic

• Elitist

• Arrogant

• Derisive



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Gunny Sgt.USMC Ret. and Auditor.

He is also:

• Pedantic

• Elitist

• Arrogant

• Derisive



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Dr. Sheldon CooperAudit Style:

• Prefers reading SOPs

• Prefers staying in Conference Room

• Limits personal interactions



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Gunny Sgt.Audit Style:

•Deplores reading SOPs

•Prefers auditing on floor

•Enjoys personal interactions… especially. telling War Stories



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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



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Breakout 1-The Human Side of Auditing - SAE International · What is the Human Side of Auditing? 1...

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