A

Auditor Characteristics

B
On-site Audit Resource
Management
3
Auditor
C
Conflict Resolution

Competencies D
Communication and
Presentation Techniques

E
Interviewing Techniques

F
Team Dynamics
 CQA / IRCA requirements
3A and experience

Auditor Personal behavior

Characteristics
Audit team leader competence
CQA Eligibility

❖ Full time and paid experience

❖ Eight years of on-the-job experience in one or
more of the areas of the Certified Quality
Auditor Body of Knowledge.
❖ A minimum of three years of this experience
must be in a decision-making position.
❖ Experience waiver based on qualification:
❖ Diploma from a technical or trade school — one year
will be waived
❖ Associate degree — two years waived ASQ CQA
❖ Bachelor’s degree — four years waived
❖ Master’s or doctorate — five years waived Requirements
IRCA Grades
❖ Provisional Internal Auditor
❖ Internal Auditor
❖ Provisional Auditor
❖ Auditor
❖ Lead Auditor
❖ Principal Auditor

❖ IRCA operates 13 schemes including:

❖ Quality Management Systems (ISO 9001)
❖
❖
Environment Management Systems (ISO 14001)
Energy Management Systems (ISO 50001)
IRCA Requirements
❖ Food Safety Management Systems (ISO 22000)
IRCA Internal ❖ Provisional Internal Auditor
Audit Course ❖ Internal Auditor

❖ Provisional Auditor Not yet conducted audits

IRCA ❖ Auditor Conducted audits as team member
Auditor/Lead
Auditor Course ❖ Lead Auditor Leads audit teams
❖ Principal Auditor Highly experienced and do not
conduct audits any more.

IRCA Requirements Slide 5

 CQA / IRCA requirements
3A and experience

Auditor Personal behavior

Characteristics
Audit team leader competence
Auditor Personal Behaviour
(per ISO 19011:2018)
❖ Ethical ❖ decisive
❖ open-minded ❖ self-reliant
❖ Diplomatic ❖ able to act with
❖ observant fortitude (courage in
pain or adversity.)
❖ perceptive
❖ open to improvement
❖ tenacious
❖ culturally sensitive
❖ collaborative
Auditor Behaviour
 CQA / IRCA requirements
3A and experience

Auditor Personal behavior

Characteristics
Audit team leader competence
Audit Team Leader

❖ Resource Management
❖ Conflict Resolution
❖ Communication and Presentation
❖ Interviewing
❖ Team Building

Auditor Behaviour
 A
Auditor Characteristics

B
On-site Audit Resource
Management
3
Auditor
C
Conflict Resolution

Competencies D
Communication and
Presentation Techniques

E
Interviewing Techniques

F
Team Dynamics
Time is precious
❖ Plan well and execute the plan
❖ Confirm in the opening meeting if any changes
are expected from the plan
❖ Changes do happen
❖ Auditors and the Audit Team Leader should
control and manage time well.
❖ Regular meeting of Auditors and the Audit
Team Leader to make any adjustment needed.
❖ Consider time needed to prepare for the On-site Audit
closing meeting
❖ Be aware if auditee is deliberately wasting Resource
time.
Management
 A
Auditor Characteristics

B
On-site Audit Resource
Management
3
Auditor
C
Conflict Resolution

Competencies D
Communication and
Presentation Techniques

E
Interviewing Techniques

F
Team Dynamics
Conflict

❖ Conflict occurs whenever people disagree over

their values, motivations, perceptions, ideas, or
desires.
❖ Conflicts in the context of audit:
❖ Disagreement
❖ Auditee delay tactics
❖ Interruptions
❖ Etc.

Conflict Resolution
Conflict: Example of
Disagreement

❖ A contractor designs and produces drawing for

the client. Monthly progress is claimed based
on these milestone:
❖ Draft drawing completed: 50%
❖ Internal checking done: 10%
❖ Internal comments incorporated: 10%
❖ Client checking done: 10%
❖ Client comments added and drawing issued: 20%
❖ Auditor observes that for a large number of drawings
49% progress has been claimed but drawings were just
started and nothing was done.
Conflict Resolution
Conflict

❖ Resolution approaches:
❖ Is this conflict worth it?
❖ Clarification of the question or request
❖ Reiteration of ground rules
❖ Intervention by other authority
❖ Use of cool-down period // Take a break

❖ Thomas-Kilmann model of conflict resolution

Conflict Resolution
Two underlying dimensions of conflict

My interest
(concern for self,
or assertiveness)

Your interest
(concern for
others, or
empathy)

Conflict Resolution
Slide 16
 COMPETING COLLABORATING

Low Empathy (You lose, I win) (You win, I win) High Empathy
High Assertiveness maximizes concern for self and collaborators willingly invest High Assertiveness
minimizes empathy (i.e., time and resources into finding
concern for others) a “win-win” solution
ASSERTIVENESS

COMPROMISING

AVOIDING ACCOMODATING

Low Empathy High Empathy

(You lose, I lose)
Low Assertiveness
when an individual has
withdrawn in dealing with the
other party.
(You win, I lose)
Low Assertiveness
characterized by a high level of
concern for others and a low
level of concern for oneself.

EMPATHY

Conflict Resolution (Thomas-Kilmann model)

Slide 17
 A
Auditor Characteristics

B
On-site Audit Resource
Management
3
Auditor
C
Conflict Resolution

Competencies D
Communication and
Presentation Techniques

E
Interviewing Techniques

F
Team Dynamics
 Noise

Sender Receiver

Encode Channel Decode

Feedback

Communication & Presentation Slide 19

 ❖ Verbal (Oral)
Communication
❖ Non-verbal
Methods ❖ Facial expressions, body gesture
❖ Written

Communication & Presentation Slide 20

Presentations

❖ Presentation in the opening and closing

meeting:
❖ If planning to make presentation using PowerPoint or
Keynote, make sure the equipment (projector) is
available in the conference room
❖ Keep the backup option (printed copies)
❖ It is not uncommon to use Webex or phone call-in
option in these meetings. Provide links or call-in
numbers to participants in advance.

Communication &
Presentation
Listening Tips

❖ Maintain eye contact

❖ Keep your mind open
❖ Pay attention to non-verbal cues
❖ Show that (by non-verbal cues) that you are
interested
❖ Don’t interrupt
❖ Restate the message to confirm that you
understood it properly
❖ Take notes // make flowchart
Communication &
Presentation
 A
Auditor Characteristics

B
On-site Audit Resource
Management
3
Auditor
C
Conflict Resolution

Competencies D
Communication and
Presentation Techniques

E
Interviewing Techniques

F
Team Dynamics
 ❖ Establish suitable climate
❖ Put auditee at ease
❖ Ask questions in conversational manner
Interviewing ❖ Weave questions into general
conversation
(already ❖ Take notes (Don’t forget this!)
covered in
IIB4) Questions should:
❖ Yield the relevant information
❖ Should not suggest answers
❖ Should not contain emotive words

Interviewing Techniques Slide 24

 Questioning Techniques:
❖ Open questions
Interviewing ❖ Closed questions
❖ Clarifying questions

Interviewing Techniques Slide 25

 ❖ Use open questions and sparingly
closed questions
❖ Use active listening, paraphrasing
and empathy
Interviewing ❖ Recognize and respond to non-
verbal cues
❖ Determine when and how to prompt
a response

Interviewing Techniques Slide 26

 A
Auditor Characteristics

B
On-site Audit Resource
Management
3
Auditor
C
Conflict Resolution

Competencies D
Communication and
Presentation Techniques

E
Interviewing Techniques

F
Team Dynamics
 01
Team-building

3F
Team Dynamics
02
Team facilitation

03
Stages of team development
 ❖ Specific goal of the audit team is
Team-building provided by the Audit Plan
in context of ❖ Role clarity: Lead Auditor, Auditor,
Guide, Observer …
an audit ❖ Interpersonal-relationship

Team-building Slide 29
 01
Team-building

3F
Team Dynamics
02
Team facilitation

03
Stages of team development
 ❖ Facilitate means … “to make it easy”
Team ❖ Facilitator coaches and helps the team
achieve a specific outcome.
Facilitation ❖ Generally for the long-term success of
the audit team.

Team Facilitation Slide 31

 ❖ Provides coaching and guidance
❖ Defuses clashes between members
(refer to the conflict resolution topic
discussed earlier)
❖ Elicits input from all
Facilitator
❖ Cultivating objectivity
❖ Overseeing progress
❖ Encouraging diverse views
❖ Consensus

Team Facilitation Slide 32

 01
Team-building

3F
Team Dynamics 02
Team facilitation

03
Stages of team development
 Forming Storming Norming Performing Adjourning
The forming During the The norming When a team Breaking up the
stage occurs storming stage, stage begins as reaches the team when the
when team teams discover the team performing stage required task is
members first teamwork is moves beyond the it is functioning complete.
come together as more difficult storming stage as a high
a team. than they and begins to performance
expected. function as a team.
team.
Tuckman's stages of team development

TEAM STAGES
Slide 34
 Forming Leaders Direct

❖Strong dependence on leader

The forming stage
❖Simple ideas occurs when team
❖Avoidance of controversy members first
come together as a
❖Avoidance of serious topics team.
❖Minimum feedback

Forming Storming Norming Performing Adjourning

Slide 35
 Storming Leaders Coach
❖Strongly expressed views
❖Challenging others’ ideas During the
storming stage,
❖Challenging leadership, authority and teams discover
position teamwork is more
difficult than they
❖Withdrawal by some team members expected.
❖Lack of collaboration, competing for control
❖High level of reacting or defending

Forming Storming Norming Performing Adjourning

Slide 36
 Norming Leaders Facilitate
❖Active listening
The norming
❖Shared leadership stage begins as
the team
❖Methodical systematic ways of working moves beyond the
storming stage
❖Readiness to change preconceived views
and
❖Receptiveness to others’ ideas begins to function
as a team.
❖Active participation by all
❖Conflicts seen as mutual problems
❖Open exchange of ideas

Forming Storming Norming Performing Adjourning

Slide 37
 Performing Leader Delegate
❖High creativity
When a team
❖Openness and trust reaches the
performing stage
❖Strong relationships it is functioning as
❖High achievement a high
performance
team.

Forming Storming Norming Performing Adjourning

Slide 38
 Adjourning Leader reassure and communicate
❖Adjourning, is the break-up of the group,
hopefully when their task is completed
successfully, their purpose fulfilled. Breaking up the
team when the
❖Recognition of and sensitivity to people's required task is
vulnerabilities is helpful complete.

Forming Storming Norming Performing Adjourning

Slide 39