How do I ... Ensure Interviews Will Be Successful?

Setting the right tone and approaching interview subjects with tact and diplomacy can ensure questioning elicits useful, honest responses. Moreover, auditors need adequate preparation and training to ensure their client interviews are handled appropriately.

Auditors should never conduct an interview "cold." They should determine in advance the areas they want to cover, the specific questions they need to ask, and who best to conduct the interview. Having these specifics in mind will focus the interview session and help auditors achieve intended results.

At the beginning of an interview, auditors may want to use some form of icebreaking technique to make the client feel more comfortable. Items on clients' desks or pictures on the walls of their office, for example, generally reflect what is important to them. Souvenirs from a family vacation, pictures of a child or pet, or hobby paraphernalia provide excellent inroads for building rapport.

Once rapport has been established, the interviewer can segue into the real purpose of the meeting. Auditors should briefly explain why they're conducting the interview and describe how the outcome of the discussion might help lead to improvements in the client's business area. If clients know what to expect, as well as how the interview might benefit them, they may be more inclined to cooperate.

Open-ended interview questions typically yield the best results. Questions that cannot be answered with one word, such as "Tell me about your bank reconciliation process," prompt the client to offer more information. When encouraged to provide narrative responses, interviewees may offer useful details and anecdotal information they may not have revealed otherwise.

Many tools can help auditors to listen, understand, and retain information from interview sessions. Taking notes is one obvious and highly effective tool. Another technique is "mirroring," which involves paraphrasing what clients say and repeating it back to them.

Once all questions from the agenda have been covered, the auditor should begin wrapping up the session by telling clients that their cooperation is appreciated. Emphasizing that the client's input is valued will help conclude the interview on a positive note.

The right interview approach can help auditors maintain a positive, ongoing relationship with clients. During subsequent engagements, clients may then be more likely to provide assistance to an investigation or audit.

Adapted from "Easing Into Interviews," by Paula Whatley (Internal Auditor, "Back to Basics," October 2005).

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