How to Create a Comfortable Working Environment as an Auditor
Almost everyone within the working environment experiences the sudden audit notification and is automatically thrown into a mental frenzy of questions… Why are they coming? What will they be observing? And why now?
These may be among a few questions running through the auditee’s mind. A good auditor will acknowledge these unspoken feelings and create a way to assist the auditee in overcoming such feelings and participating in a successful, efficient audit. Of course, a successful audit does not mean there won’t be any observations or findings, but a successful audit is usually where all the desired areas are covered, and both the auditor and auditee have benefitted from the exchange of information presented enough to make a conclusion of what could happen next.
As an auditor, I’m often nervous when I audit, mostly because I don’t know what to expect with the different personality styles I may encounter during an on-site or remote audit. Still, if there is one thing every auditee has in common, it is that they don’t want an auditor snooping around, so I may not be their most favourable person (but I am working to change this).
After receiving the audit notification, the auditee has the task of prepping and ensuring the areas that are to be scrutinised by our lovely noisy auditors go “as planned”. But there is no way for them to thoroughly plan a perfect audit because they can never tell what the auditor might say or pick up on. As auditors, we are contracted to ensure auditees can fulfil the delegated activities as per the contract and remain compliant with the regulations required.
I’ve always seen an audit as a way for the auditee to confidently describe their job roles regarding the applicable regulations, standards, and documents – as a way of guidance. It is the auditor’s role to confidently leave the audit knowing that all activities that have been described are correct to the applicable standards and regulations. In essence, the auditor wants to see that you are doing your job correctly, with knowledge of the regulations/standards as per the contracted obligations.
We have identified that upon receiving the audit notification, a million and one things can spiral through the auditee’s mind, which can often cause anxiety and discomfort. It is, therefore, essential to create a comfortable working environment for the auditee before and after the audit.
When describing an audit, ‘comfortable’ is not the first word that comes to mind, but why can’t this be a word associated with the auditing environment? To provide comfort is to allow for ease and relaxation, and I believe that when we are comfortable, we can work to our optimum, so creating a comfortable working environment for our auditees could help create more efficient, timely and successful audits.
Here are my top tips on how to create a comfortable working environment…
1. Break the “Awkwardness Barrier”
The awkwardness barrier usually exists due to the initial inconvenience experienced by the audit notification sent out by the auditor to be received by the auditee team. How do we break this barrier?
Pre-audit call
In the case of an on-site or remote audit, having a pre-audit call with the auditee team is a great way to begin breaking this barrier and create morale within the team. Over the past few years, I have found that introductions are a great way to break the awkwardness barrier by getting to know the person or group you are planning to audit.
A personal approach
Many times, during the introduction stage, you can get to know the team you will be working and interacting with and can gauge their working and interactive styles. It’s also an excellent way for the auditor to get to know and understand the team’s morale, which is always a helpful indication of how well the team work together and how this may or may not affect the outcome of the audit.
These early introductions can help the auditee team, and auditor feel heard and humanised.
Taking a personal approach in these introductions can also help the auditee team create a safety bond of trust which is always helpful during the audit. Breaking this barrier helps the auditor establish the existence of the auditee team and acknowledges the amount of hard work that goes into prepping, planning, and executing an audit.
Breaking the barrier is the first step in creating a comfortable working environment.
2. Body Language
This goes a long way in any industry. How you portray yourself is first received through your body actions and posture way before a word is even uttered; how we present ourselves as auditors go hand in hand with how we will be received as auditors. We have already established that as auditors, we have a job to do, and our auditees can and will interpret our job as an inconvenience, so the least we can do is make it worth their time.
Naturally, we will observe the tone and body language of those we are auditing but have you ever wondered how your body language is being received? As a female auditor, I have observed the different stances of people talking or presenting during an audit. This has impacted how well I take in information and how much of that information I retain. Due to this reflection, positive body posture can help create a comfortable working environment, allowing the auditee to articulate themselves and not feel so tense.
As an auditor, I know my position is not favourable and may cause panic and anxiety. That is why presenting and portraying positive body language through actions and words should be a tool auditors use to help complete an audit successfully. How we present ourselves could impact what our auditee gives in return as a mirror effect.
3. Engage in conversations outside of the audit
This, I thought I would struggle with when I became an auditor… engaging in conversations outside of the audit. However, I enjoy engaging in conversations and learning new things whenever the opportunity arises, but finding something in common with your auditee team can be challenging and can create an awkward silence.
Through the pre-audit calls, you can establish a communication style and sometimes find out the interests of the auditee team, which allows for conversations to occur during the audit. An easy conversation starter, from my experience, has been talking about the weather. As simple as that sounds, this is a great starting point as it usually leads into conversations about what we can or cannot do due to the weather and pans onto other discussions about where everyone is situated.
Humans, not robots
Introducing such conversations reminds the auditee that you acknowledge them as humans, not robots, creating a sense of release and relief when talking about other things. This is a common theme that should be continuously repeated within all these tips, it is acknowledging that your auditee should be treated with utmost care and respect. It also reminds us that we are human, constantly learning new things. This is a helpful mindset when auditing, as the auditee will benefit from discovering something new personally and in a working environment.
It also helps release the tension or “the elephant in the room”, adding a personal touch to the relationship and connection between the auditee and the auditor. As an auditor, it is essential that we set the tone of how we would like the audit to be completed while keeping in mind that we create the boundaries that are comfortable for both parties in place so that the audit activities are completed in a conducive professional manner.
4. Confirm information taken in
How this is done is usually up to the auditor, but it is always great if you can show that you have heard and understood the information provided by the auditee team. A lot of information is usually shared during the audit, which is done based on the criteria set out to be achieved, like a checklist. It is beneficial to confirm the information being relayed across, and this is because it allows me to show that I am listening and for the auditee to ensure that I have understood what I have heard. As mentioned, audits are a transfer of information between two parties, therefore, it is crucial that everyone can show that they are on common ground with the data being taken in.
Reassurance
Confirming the received information can also eliminate awkward silences, helping the speaker feel heard and included. This tip also demonstrates the auditor’s ability to take in the presented information, which could reassure the speaker that you are paying attention and, at the same time, give them a chance to change their mind or revise the information shared. We all get nervous and may not say the correct information the first time, but this offers them the opportunity to have their words dictated back to them through the voice of another and identify what was missed out or misinterpreted. This is also an excellent way for auditors to develop their listening skills and the art of providing constructive feedback to the auditee team.
So, to conclude, from my experience as an auditor, initial conversations, positive body language and keeping the conversation going are key in breaking down barriers and ensuring a comfortable environment is achieved, allowing both auditees and auditors to work efficiently to achieve a timely and successful audit.
For Tower Mains, Rosemary supports clients in quality activities and conducts routine audits primarily in GCP laboratories and computer systems. To find out more about what Rosemary, and the Tower Mains team, can do for you, click here, or email us at info@towermains.com.