How to conduct interviews in management systems audits

Audits of management systems are all about finding out how well systems are working in practice in an organisation, so we can see where improvements need to be made to meet required standards.

Talking to people involved in the day-to-day business of those systems is a valuable way of assessing what is actually happening.

In this article we look at what should be included in an interview, and how you can approach the conversation for the greatest chance of obtaining the information you are seeking.

What should be included in an audit interview?

These steps offer a clear path to ensuring a structured, clear and effective audit interview:

• Introduce yourself to the auditee representatives and briefly explain the objective and format of the audit ​
• Establish roles and confirm the auditee representatives’ job title and responsibilities ​
• Ask the auditee representatives to describe the activities for which they are responsible​
• Ask if there are any documents that describe these activities. Ask to see these documents and check their issue and revision numbers ​
• Start your detailed questioning, using your checklist to guide the interview and confirm you are receiving the required information. ​Use short sentences and non-technical language. ​Ask to see objective evidence such as completed record forms, drawings, minutes, test results, etc ​
• Observe as much of the activity being performed as possible. ​Talk with others in the area being audited to check their understanding ​
• Confirm with the auditee representatives your understanding of what you have observed. ​Record your observations and summarise them for the auditee representatives before or after you record them ​
• Create closure by thanking the auditee representatives and those involved for their assistance. ​

What skills does an auditor need in an interview?

Successful auditing isn’t just about following a plan. An effective auditor needs to bring a range of skills to the meeting, aiming to gain the most information from willing and relaxed interviewees.

We suggest focusing on your interviewing, listening and questioning techniques for the best results.

Tips for interviewing in general

• Make the auditee feel at ease
• Explain the purpose of the audit
• Consider how you ask questions
• Listen carefully to responses
• Follow up when your questions identify further ones
• Stop when you have enough evidence
• Explain when a nonconformity is identified
• Keep the auditee informed
• Avoid being side-tracked or misled

Listening

• Concentrate on the information and don’t be distracted by surrounding activities
• Avoid showing any reaction to the information being supplied
• If the topic is complex or difficult ask for clarification rather than switching off
• Let the auditee know if you going to make notes
• Summarise your understanding of the key content

Questioning

• Think the question through before you ask it  
• Use open questions – who, what, when, where, how and why – to get more information, rather than closed questions that will simply elicit yes or no answers
• Ask complete questions, one at a time

Find out more

You can learn more about the role of the auditor and the practical tasks they perform by attending one of our Lead Auditor or Internal Auditor training courses relevant to the standards that you are working towards.