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Audit Prep Communication
Overview
2015
SPP HR Corporate Training & Professional Development team
Compliance Department
Donna Freeman, Supervisor
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Workshop Purpose
“Sharpen the Saw”
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COMMUNICATION SKILLS 3
Understanding Types of Information
• Assumption
• Concept
• Fact
• Opinion
• Opinionated Fact
• Procedure
• Process
• Principle
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Exercise1. The computer system is too hard to learn.
2. Only 45 fish died.
3. The restaurant garden space is 1/5 of an acre
4. The substance is red.
5. A new computer system is too expensive to implement.
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Information Types• Assumption• Concept• Fact• Opinion• Opinionated Fact• Principle• Procedure• Process
Exercise6. To wash your hands, first wet your hands, then
add soap, rub your hands to lather the soap, and rinse off the soap.
7. The water cycle includes the evaporation of water, the condensation of water vapor into clouds, rain, and water flowing in streams and rivers back to lakes and seas.
8. Gravity causes dropped objects to always fall to the ground.
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Information Types• Assumption• Concept• Fact• Opinion• Opinionated Fact• Principle• Procedure• Process
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VERBAL COMMUNICATION SKILLS
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Communication: Verbal, Vocal, or Visual?
Source: Albert Mehrabian, UCLA8
7%Verbal
38%Vocal
55% Visual
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• Never apologize for yourself.
• Avoid “but”; say “and” instead.
• Avoid phrases such as “I think/feel/believe… ”, When asked a factual question.
• Use “In my opinion… ” only when asked an opinion statement. Consider not using it at all!
• Believe in your story.
Tips on Verbal Behaviors
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Watch Filler Words…Do You Really Need:• Currently
• Therefore
• However
• Also
• Due to the fact that
• A total of
• Moreover
• In order to
• That
• As previously stated
• Importantly
• Additionally
• At this time
• In the process of
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It’s Not What You Say…
• “I didn’t say you were wrong.”
• “I didn’t say you were wrong.”
• “I didn’t say you were wrong.”
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Para‐Verbal Communication• Pitch
– Pitch describes how high or low your voice is.
• Volume
– The loudness of your voice must be governed by your diaphragm.
• Quality
– The color, warmth, and meaning given to your voice contribute to quality.
• Speed
– The pace of your words.
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The Power of Pitch
• A high pitch is often interpreted as anxious or upset.
• A low pitch sounds more serious and authoritative.
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Pitch can most simply be defined as the key of your voice.
The Truth About ToneTips on creating a positive, authoritative tone.
• Try lowering the pitch of your voice a bit.
• Smile! This will warm up anyone’s voice.
• Sit up straight and listen.
• Monitor your inner monologue. Negative thinking will seep into the tone of your voice.
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The Strength of Speed
• The pace has a tremendous effect on your communication ability.
• Speed also has an effect on the tone and emotional quality of your message.
• Speed gives your listener perceptions about your confidence.
– Too fast? Dead giveaway that you’re nervous!
– Too slow? What are you hiding? 15
NON‐VERBAL COMMUNICATION
Themostimportantthingincommunicationistohear
whatisn'tbeingsaid. ‐ PeterDrucker
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Scenarios ‐ Interpretations• The auditor asks you to explain your procedure for a
particular process. He/She looks stern and their arms are crossed.
– His mind is already made up.
• A team member tells you they have bad news, but they are smiling as they say it.
– They are joking or being sarcastic.
• You tell a co‐worker you cannot help them with a project. They say that it’s OK, but they slam your office door on their way out.
– The co‐worker is upset.
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All About Body LanguagePosture
• Sitting hunched over typically indicates stress or discomfort.
• Leaning back when standing or sitting indicates a casual and relaxed demeanor.
Arms, Legs, Feet, and Hands
• Crossed arms and legs often indicate a closed mind.
• Fidgeting is usually a sign of boredom or nervousness.
Facial Expressions
• Smiles and frowns speak a million words.
• A raised eyebrow can mean inquisitiveness, curiosity, or disbelief.
• Chewing one’s lips can indicate thinking, or it can be a sign of boredom, anxiety, or nervousness.
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Interpreting GesturesGESTURE INTERPRETATION
Nodding head Yes
Shaking head No
Moving head from side to side Maybe
Shrugging shoulders Not sure; I don’t know
Crossed arms Defensive
Tapping hands or fingers Bored, anxious, nervous
Shaking index finger Angry
Thumbs up Agreement, OK
Thumbs down Disagreement, not OK
Pointing index finger at
someone/somethingIndicating, blaming
Pointing middle finger (vertically) Vulgar expression
Handshake Welcome, introduction
Flap of the hand Doesn’t matter, go ahead
Waving hand Hello
Waving both hands over head Help, attention
Crossed legs or ankles Defensive
Tapping toes or feet Bored, anxious, nervous19
LISTENING SKILLS
When people talk,
listen completely.
Ernest Hemingway
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Ways to Listen Better Today
• When you’re listening, listen.
– frame of reference
– Listen closely and attentively
• Respond appropriately, either non‐verbally, with a question, or by paraphrasing.
• Avoid interrupting.
• When you do talk, make sure it’s related to what the other person is saying.
• Do not offer advice unless the other person asks you for it. If you are not sure what they want, ask!
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Listen on Purpose & Ask Good Questions
• Question Types
– Knowledge ‐ seeking facts, clarifying concepts, asking for generalizations.
– Process ‐ asking people to predict what will happen, compare and contrast two situations, synthesize ideas, or why a solution was implemented.
– Affective ‐ asking people for their opinions, feelings, attitudes or beliefs.
– Behavior ‐ asking how participants can apply new knowledge, what will they do differently now, than before, or how they can solve a problem.
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Listening To Questions
• Closed‐ended
– “Right answers”
– Answer the question with factual data
• Open‐ended
– Elicit multiple answers
– Answer the question with an explanation
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Not Sure of What’s Being Asked?
• Restate
• Repeat
• Recess
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Exercise – Answer, Rephrase or Clarify?
• Can you provide me a walk‐through of your process?
• How does your process support CIP‐00X, R.Y?
• Your processes are close to compliant, wouldn’t you say?
• In your opinion, are your Department’s processes adequate?
• Do all your processes support the standards?
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Understanding Types of Information
• Fact
• Opinion
• Opinionated Fact
• Concept
• Assumption
• Procedure
• Process
• Principle
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Answering Questions
• Think about the purpose of the question and the answer before you speak.
• Keep it simple.
• Ask and answer one question at a time.
• Use Wait Times.
• Use appropriate nonverbal communication.
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OVERCOMING NERVOUSNESS
Fear is that little darkroom where negatives are developed
‐Michael Pritchard
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Preparing Mentally
• Review your evidence
• Get a good night's sleep
• Eat a good meal, but don't over eat
• Visualize success
• Think realistically
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• Soothing stretches
• Deep breathing
• Tensing and relaxing
• Silence is your friend
• Use affirmations
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Stress Relieving Techniques
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Appearing Confident
• Personal organization
• Be prepared
• Know your topic
• Anticipate questions
• Be conscious of your body language
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Establishing Credibility
• Dress appropriately
• Show your confidence
• Pronounce all your words correctly
• Be able to provide evidence to support what you're saying
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• Answer what’s asked
• It’s an audit—not an auction
• Not sure of what’s asked—Restate, Repeat, Recess
• Silence is OK—Gather your thoughts, take a breath, provide a clear response
• Call a caucus!33
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