Conducting Team Audits
Basic Considerations
□ team = coordinate work together toward a common goal
□ goal is predetermined; goal = valid review of the client organization
□ client-focused:
o put aside individual differences
o work together to provide the best possible service for the client
o utilize each member’s special qualities to produce a superior audit
□ work together in one place  independent, see each other as competition, piece each
one’s work
o maximize communication, coordination and collaboration
□ Audit team process
1. Initiation Phase
Focus efforts inward
Create a vision for the team
2. Planning Phase
Designate team roles
Develop schedules
Publicize team to organization
Create mechanisms for collaboration
3. Focus Areas
Assign areas of focus
Determine primary and secondary roles
Establish collaborative norms
4. Data Collection Phase
Determine interview teams
Outline data collection guidelines
5. Interpretation Phase
Organize information
Synthesize all members' perceptions
Verify all data for accuracy and reliability
6. Final Report Phase
Determine standards for writing report
Verify final report
Develop plan for report presentation
7. Shared Review of Audit Processes
Initiation Phase
□ Focus Efforts Inwards
o audit team must first be intact prior to entry in the org
o be familiar with each one, unique strengths and weaknesses of each
o build a unified whole working toward a common goal
look at individual communication styles & possible roles in the audit process
1. intuitors
2. doers –audit tasks (i.e. statistical analyses and scheduling)
3. thinkers
4. feelers –relational tasks (i.e. communication with key people in the
org)
□ Create a Vision for the Team
o existence of differences in perspectives, agendas and priorities regarding
outcome
o skillful audit = vision that is client-focused
 there is accountability and professionalism (not merely for academic
concerns)
 standard vision: to provide superior service to the client
organization
o common ground between competing parties = client org
o
Planning Phase
□ Designate team roles
o guidelines for the “game plan” for with each other and the org
o individual roles
1. contact person
 liaison to the org
 flexible and readily available
 clarify concerns and publicize benefits of the project
2. scheduler
 develop the interview plan
 find a common time among interviewer ‘free time’ schedules
3. coordinator
 in charge of the entire operation
 oversees the project
 knowledgeable concerning current events
** these three roles increase accountability without diffusing the
responsibility to too many team members
** too many roles = forget key responsibilities
□ Publicize the Audit team to organization
o employees must understand why they are there
o shows mgt is backing up the project
o helps team spend less time establishing credibility and more time collecting
data
o publicity
 provide summary resumes to key mgt and workers
 mgt introduce the team through a meeting, or mentioned by CEO in
employee’s voice mail
 team may write an ‘open letter’ to validate credibility and explain the
process (see reading for example)
 addresses specific questions and concerns on audit process
 explain the audit team, communication audit, the survey
instrument
□ Create mechanisms for collaboration
o
medium through with members can collaborate (i.e. email, filing cabinet,
meeting times)
Focus Areas
□ Assign areas of focus
o let people choose what they want = highly motivating
o individual contribution must still be in a team perspective
o involvement in multiple areas is still important to have an overall
organizational perspective
□ Determine primary and secondary roles
o primary & secondary roles based on person’s interests and expertise
□ Establish collaborative norms
o enhance understanding and learning about the org
o risks of “tunnel vision” –generalize based on their areas/methods of interest
that constitute only on a fraction of the org = misinterpretations
o encourages open dialogues, resists groupthink
Data Collection Phase
□ two general methods: quantitative & qualitative
o each should have a primary role in one, and a secondary role in the other for
better interpretations when collating data
 less likely to gloss over contradictions between data
□ Systematize the Quantitative Data Collection
1. create a central location for coding data
 easily updated for corrections
2. use a limited number of data coders
 increases accountability, reduces errors
 can verify data once its coded
3. determine guidelines for coding data
 how will it be coded if there is more than one answer
4. verify data
 either during the process or post hoc
 one person makes sure that numbers are encoded properly
 frequency distribution
 eliminate double numbers, detect numbers that fall out of the
scale, verify that missing data are properly coded
 encode data twice, run a computer check
5. conduct tests only after data had been verified
6. print two copies of the output
 one should be bound as a verification resource should never be
removed
 second copy can be disseminated for the writing of final report
 use different color highlighters (important vs. interesting)
□ Summarize Qualitative Data
1. develop interview teams
 one should take notes while the other asks questions
2. type written summaries immediately after the interview
 both interviewees should type and verify transcripts
 to avoid forgotten details
 make available to the team afterwards
3. determine how the data will be synthesized
 summarize main ideas and single out representative comments
Interpretation Phase
□ need to effectively manage competing perspectives, radically different
interpretations and individuals who think they know the “truth” about the org
□ members may fall victim to either groupthink, destructive conflict, or exhaustion
(that leads to the acceptance of any interpretation)
□ recommendations in interpreting data
1. communicate like crazy
 continuous communication between members
 should be discussing information & possible interpretations
throughout the whole process
2. use focus groups to synthesize team interpretations
 may be used with subgroups or entire audit team
 formal/informal
 synthesize interpretations
3. triangulate all data
 compare all data collected
 discrepancies and complimentary information
4. test your assumptions
 assumption 1
o all people are good individuals and that these good people
want to solve problems, want to resolve conflict equitably,
and want excellence in communication
 assumption 2
o auditors think that they equip people to overcome difficulties
by presenting information on active listening, open
communication, win-win conflict resolutions, diversity, or
sensitivity training, or set up off-site meetings to work
through problems
a. clients are left on their own devices about how to
apply info
b. auditors often do not have a way of dealing with
people who want conflict or are unprincipled
Final Report Phase
□ employ clear standards of writing, involve extensive verification, produce organized,
effective team presentation
□ avoid cut and paste
□ Agree on standards for writing the final report
1. Determine verb tense
 past/present tense?
 active/passive voice?
 active concise
2. Determine how the results will be reported
 symbols and numbers? or spelled out?
 percentages or averages?
3. Make wise language choices
 consider audience
4. Organize consistently
 consistent form of organization increases readability and enhances
clarity
 organize around variables or departments of the organization
 determine format of final report
5. generate charts
 aid understanding
□ Develop a plan for report presentation
** presentation may be the first time org will consider the findings of the audit
1. Presentation must impress clients with its benefits
 what type of presentation best serves the org?
 needs of org must be the priority
 select most experienced and effective speakers
2. Assign specific roles for the presentation
 “front-stage” vs. “behind-the-scenes” roles
 select most effective presenters to make the best impression
 primary coordinator + multiple speakers
o ensure smooth flow
3. Deal with the client questions
 after the report, org may want to know more/seek justifications of
the report’s conclusion
Special instructions for audit classes
1. be client-focused
2. share roles and responsibilities
3. be professional
4. don’t expect to be able to conduct an audit using just regular class times
Conclusion
□ must also audit team’s communication
□ detailed planning to facilitate collaboration