The Interview Objective

An important part of the competence development of an auditor is the development of your interviewing skills. You have the opportunity in a gentle and encouraging way to elicit all manner of information from the auditee.

Yes, Interviewing is a skill - You will get better at interviewing the more interviews that you carry out.

The objective of the interview is to obtain as much information as possible from the auditee which can then be used as a check and validate the process and procedure – such verbal information can be very valuable and helps to provide a more holistic understanding.

Unless it can be verified or validated it is considered as Hearsay evidence so is of only limited value, however without doubt it serves as a way of checking against your expectations based on your understanding of the process.

Interview in an Appropriate Place

It is important where the interview takes place. It should be an area that is quiet so that you can talk easily with the person. It is also helpful if you can find a place so that you can sit down to carry out the interview.

It should be a place where the interviewer and the interviewee can talk as two people on an equal level.

To maintain the feeling of equality, the interviewer’s and interviewee’s eyes should be on the same level (for example, the interviewer should never be standing while the interviewee is sitting).

Delivering the Interview

Put the person being interviewed (the interviewee) at ease. So, you need to act relaxed and use a neutral tone of voice in the interview. Also, use neutral body language - that is, arms and legs should not be crossed.

It is very important that you put the auditee at ease for the interview. If the person is in any way nervous it may affect their memory and willingness to answer the questions.

Keep the Information Flowing

Ask Open Questions - For example: - Please explain how the process to manage XYZ works.

Do not interrupt unless the person gets off the topic.

You are trying to discover nonconformities so ask for help!

What is the biggest issue you have with manpower control or 

Documentation or Training (etc.) – This is a good way of prompting to understand issues from the auditee’s perspective.

When the communication starts to slow down ask a positive learning question - If you could make two or three improvements what would they be? (This can also be considered as an opportunity to expose weakness, however, note that we are essentially only able to focus on Compliance during the audit.)

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