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taking things
ents in which the
ve established a relatI
lly run smoother because
supervisor can build on
of trust during difficult sit-
stion then becomes, "What
nsure that the ongoing rela-
n't get entangled with the
audit?" s a quality auditor, you should
take the following actions:
al Quality
ds
ove communication
audit and main-
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Quality prooress!June 1994 39
~

. . ~ ~
J "
ent on the evaluators and auditors."2 But this is nothing to be
ashamed of-a person carniot be good at everything.
Effective auditors listen far more than they talk. If you are
not paying attention when someone is speaking because you are
thinking about what to say next, you will not only show disre-
spect but will also probably misunderstand most of what is said.
You must be patient and attentive. When the person finishes
speaking, you should ask whether there is anything else he or
she would like to add. Good listening often becomes a chal-
lenge under the stress of an audit. Paraphrasing what a person
has said often clears up misunderstandings.
Powell also stated that, 'The genius of communication is the
ability to be both totally honest and totally kind at the same
time."3 For many people, this is truly a lost art, but not one that
should be given up. An increase in communication usually
leads to a better working relationship.
Be prepared
A quality audit's success often hinges on preparation.
Generally, an extensive audit requires considerable preparation
to identify opportunities for mutual gain.
Before an audit begins, you should make sure that you know
the procedures better than the supervisor of the department
being audited. Poor preparation wastes time and can make you
look like a phony. Don't embarrass yourself by pointing out dis-
crepancies that aren't really problems.
You should also make sure that the time chosen for the audit
is convenient for the supervisor. A good working relationship is
built on trust, and one way to enhance that trust is by being
. punctual. No one appreciates having his or her time wasted.
Being prepared and on time are common courtesies that, if
overlooked, will likely guarantee that the audit will get off to a
bad start.
Be empathetic
As an auditor, one of the most important skills you can pos-
sess is the ability to put yourself in another's shoes. Even
though you and the supervisor work for the same company,
there might be conflicting views on how things should be done.
But a closer examination usually reveals that you agree more
than you disagree.
The auditor's first meeting with the supervisor is critical. In
addition to looking professional, you should be sincere, confi-
dent, and enthusiastic. You should maintain eye contact and
make sure that your body language is synchronized with what
you are saying. Be aware of what you are communicating non-
verbally. If you are constantly scanning the room, for example,
you'll appear nervous. '
Every audit, to some extent, has an emotional element. In a
good working relationship, there is usually a healthy balance
between emotion and reason. Without emotion, there will be lit-
tle or no motivation. Too much emotion, however, will cloud
judgment and become a barrier to effective problem solving.
If the supervisor is tense, angry, or anxious, he or she is not
likely to be receptive or cooperative. The first step in dealing
with another person's emotions is to be aware of those emotions
and how your actions affect them. If you are not aware of your
effect on a person's emotions, you might inadvertently worsen
the situation. Usually, you are better off making an educated
guess about someone's feelings than ignoring them. The best
40 Quality proDress!June 1994
way to avoid a misunderstanding is to simply ask the person, in
a nonjudgmental way, what is on his or her mind.
If it is an ongoing relationship, you might want to arrive a
few minutes early to catch up on shared interests other than
work. In addition, humor is a great way to break the ice. Studies
have shown that people who are considered too serious or rarely
laugh are generally mistrusted by others.
4
Supervisors often regard audits as little more than witch-
hunts. Thus, during the first meeting, your goal is simply to put
the supervisor at ease. You have a distinct advantage: You know
what is going to happen, and the supervisor does not. Since
.most auditees are nervous, you might suggest getting a cup of
coffee in a quiet area away from the department. This will give
you a chance to cover the agenda without interruptions. You can
also explain how the audit will benefit the supervisor, so that he
or she realizes that you are both working toward common goals.
Occasionally, you will come across supervisors who have
their radios tuned to WII-FM (What's in it for me?). This is pre-
dictable, and you should be able to cite specific benefits that the
supervisor can expect. Here are four possible benefits:
1. Many companies are regulated by government agencies or
other outside organizations. In such situations, the audit will
help the supervisor solve potential problems before these out-
side organizations find them.
2. An objective appraisal can identify ways to improve the
department's performance and thus increase the supervisor's
value to the company. In addition, if the supervisor's job were
made easier, it would free up more of his or her time for innova-
tion.
3. If the supervisor had previously recognized the need for
change but his or her efforts were stone-walled, the audit report
might help since it usually provides a direct line to upper man-
agement. The supervisor might find the quality audit a valuable
tool in bringing about needed changes.
4. A properly conducted audit will improve communication
between departments, increase efficiency, and boost morale.
Use objective criteria
Mutual gains should be sought whenever possible, but to
avoid conflicts, both parties should initially agree to use objec-
tive criteria that cannot be controlled by either party. This will
prevent either party from having to "give in" to the other.
People generally dislike having their actions dictated by others
and prefer to participate in decisions that affect them personally.
They are more inclined to comply with an audit that has previ-
ously agreed-on standards.
You should explain what the audit objectives are and what
procedures or standards will be followed. Chances are that the
company's directives require periodic audits. You should tell the
supervisor that you intend to be objective and that the standards
used (whether they be company procedures, Good Manufacturing
Practices, or ISO 9000 series standards) are fair and practical.
Quality audits should be educational and mutually beneficial.
Relying on phrases such as "It's company policy" will only
alienate the supervisor.
You should anticipate that the supervisor will be concerned
that the department's productivity will drop during the audit.
This is a legitimate concern. Let the supervisor know that you
share this concern and that you intend to be as brief and nondis-
ruptive as possible. The supervisor will appreciate your candor.
Craig M. Rice is the president of Quality Resources, Inc. in
Naperville, IL. He has a bachelor's degree in psychology from
Southern Illinois University in Edwardsville. Rice is an ASQC senior
member, certified quality auditor, certified quality engineer, certified
quality technician, and certified mechanical inspector. He is also a
Registrar Accreditation Board certified quality systems lead auditor.
References
.1. John Powell, Why Am I Afraid to Tell You Who I Am? (Niles, IL:
Argus Communications, 1969), p. 43.
2. L. Marvin Johnson, Quality Assurance Program Evaluation
(West Covina, CA: L. Marvin Johnson and Associates, 1990).
3. John Powell, The Secret of Staying in Love (Allen, TX: Tabor
Publishing Division ofDLM, Inc., 1974), p. 114.
4. Anne M. Russell and Lorraine Ca1vacca, "Should You Be Funny
at Work?," Working Woman, March 1991, pp. 74-75..
must never let emotions escalate, and you must never argue.
You don't want to win thebattle only to realize later that you
lost the war. You should make sure that you understand the
supervisor's position and that he or she understands your posi-
tion. You can agree to disagree, but you should do so in a con-
manner leaves the supervisor's ego intact. If an
Issue can't be resolved, you can always let higher-level person-
nel resolve it.
Everyone wants to win conflicts, but you should avoid this
during audits. Often, a fine line separates determination from
stubbornness. Your intuition should be the judge. One situation
that you especially want to avoid is being labeled a "nitpicker"
by uppey management. If the alleged deficiency is minor or
you might be better off dropping it altogether.
This could go a long way in improving relations. If you tum a
minor infraction into a major battle, you might be burning
bridges.
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Build aworking relationship
Conventional audit theory states that auditors should be con-
cerned only with assessment, not with suggesting problem-solv-
ing methods. This convention, however, almost guarantees a
tense relationship, especially when the supervisor has no idea
how to solve the discovered problem. In this situation, you
should offer help if you are able. People generally want to do a
good job but might not always know how and might be reluc-
tant to ask for help.
Auditors should be aware that, in some cases, supervisors
have limited control over their environments. Thus, they might
not be able to follow the auditors' suggestions to change their
systems.
Finally, auditors often overlook a common courtesy: thank-
ing the supervisor for his or her time. Chances are that you have
slowed productivity in the department. By letting the supervisor
know that the audit is officially finished, he or she can get back
to work.
Focus on problems, not people
Bla.ming others is almost always counterproductive. By
assessmg blame, you are firmly connecting the person with the
problem, and he or she might become defensive, angry, hostile,
frustrated, or offended. Worse yet, the person might stop listen-
ing. If you must criticize, it should always be impersonal. Egos
are easily damaged.
The audit's frame of reference should be shifted from fault
finding to problem solving. You should let the supervisor know
that you are committed to helping improve the department's
processes. Always aim for what went wrong, not who did what.
Remember to accentuate the positive by stating what should be
done right rather than what went wrong. Preface statements
with "I" rather than "you."
Generally, people are more interested in an outcome if they
were actively involved in developing the process used to pro-
duce the outcome. One way to get supervisors involved is to ask
t?em for .their ideas and to give them credit for their sugges-
tions. ThIs not only acknowledges their competence but also
increases the likelihood of a mutually satisfactory outcome.
Consult before deciding
Before you document a deficiency, you must make sure that
you have listened carefully to the supervisor and that you under-
stand the situation. It is important to take the supervisor's view
into account before making a decision that will significantly
affect him or her. This does not imply that both parties have to
agree; it only implies that every effort should be made to con-
sider all viewpoints. An auditor who decides matters strictly on
his or her own shows little concern for others. This behavior
prevents a good working relationship because the auditor is usu-
ally seen as unpredictable and untrustworthy.
. You must deal strictly with the facts by asking probing ques-
tions and clarifying ambiguities. Aproblem must first be under-
stood before it can be solved. Perhaps the alleged problem has
already been corrected but you didn't receive official notice yet.
You should be flexible. Giving the supervisor the benefit of the
doubt can help establish a favorable working relationship. There
is no reason to write up a formal corrective action request if the
problem has already been corrected. In addition, if you
encounter a problem, it is important that you discuss it with the
supervisor immediately and document your findings before the
details are forgotten.
If you happen to notice a staff member incorrectly following
procedures, it is better to notify the supervisor and let him or her
handle it. In many cases, the staff members are only doing what
the supervisor told them to do, and you might create needless
misunderstandings. Remember, you are only a visitor. It is ill-
advised to circumvent the chain of command.
Another factor that often complicates auditing is the discus-
sion of the final audit results. Always discuss the results in pri-
vate. No one likes to have his or her performance reviewed in
front of an audience, particularly if the audience consists of his
or her staff. Be aware that passersby might overhear just enough
to start rumors; you could spend considerable time trying to
repair the damage you inadvertently caused.
Agree on disagreeing if necessary
Quality auditing is not a true science. Disagreements are nor-
mal and inevitable. The goal is to keep your cool and remain
professional; making threats will not make you any friends. You
Qualllv progress!June 1994 41