Interviews and observation: evidence beyond documents

On paper everything is in order: every order passed the scanner, every parcel was weighed, every signature is in place. The auditor walks into the warehouse at six in the evening and finds the packer has put the scanner aside and is sticking a paper label on by hand. A document shows how people are supposed to work; interviews and observation show how they actually work. Until you have seen both, the audit is not finished.

What a document does not show

A signature tells you that someone signed a piece of paper, not that the control was performed. A storekeeper may sign a delivery note without opening it. Many rules are not written down at all: arrangements such as "urgent orders go out first" or "we will paper this customer's order tomorrow" live in a Telegram group or are passed on by word of mouth. The auditor learns about them only by talking to people and watching the work.

Interviews: whom to ask and what

One storekeeper is not enough. Listen to people at different points of the process: the loader, the packer, the driver, the sales manager, the accountant, a new hire and a long-serving employee.

Keep the questions open. Ask "do you use the scanner?" and everyone says yes. These work better:

• "How did you receive yesterday's delivery? What did you do first?"
• "What happened the last time the system balance did not match the shelf?"
• "When do you usually issue the paperwork if a customer arrives in a hurry?"

The words "the last time" turn a general answer into a specific event. Put the same question to several people: where the answers differ, dig deeper.

How the conversation goes

At the start, state the purpose openly: "We are not assessing you; we want to understand how the process works." That opening lowers the urge to defend oneself. Keep the conversation to 20–30 minutes and hold it at the workplace, during work: in familiar surroundings people speak more precisely, and it is easier for them to point things out. At the end, repeat briefly what you heard: "So with a rush order the paperwork is done later, correct?" If the person corrects or confirms it, the record becomes more accurate. Finish the write-up the same day, because after two days the details fade.

Observation: when to show up

A visit scheduled for a time everyone knows will show the parade version. So observe at different times:

• while a delivery is being received, especially late in the evening or early in the morning;
• at shift change, when responsibility passes from one pair of hands to another;
• in the busiest hours, such as sale days for online shops;
• at lunchtime and when few people are on the floor.

The notes record the date, time, place, who did what, and which document or system was used. The auditor writes their own interpretation separately from the facts.

Example: an online shop's warehouse

The records of a shop that sells through Telegram and a marketplace say every order goes through the scanner. In the interview the packer said, "We always scan." The auditor watched from 17:30 to 19:00 on a sale day: the queue grew past 20 orders, scanning was skipped on four of them, and the label was written by hand. Conclusion: the control works on an ordinary day and breaks when the load rises. The recommendation follows from that: on peak days add a packer and check scanning, instead of asking staff to "be more careful".

The observer effect

A person who is being watched behaves better than usual, so a single observation is unreliable. It helps to come two or three times, on different shifts and days. If several observations show the same thing, it is not chance.

How it counts as evidence

An interview is weak evidence on its own: a person may forget, be mistaken or prefer not to say. So confirm it with a document or an observation. The record shows the interviewee's position, the date, the topic, the answer, and whether it was confirmed. If the name does not matter, the job title is enough. Ask permission before taking photographs, and keep faces out of the frame.

Conclusion

A document shows the trace of a process; interviews and observation show the process itself. OmborAudit compares documents with conversations with staff and with observation on the warehouse floor, because the gap between them is often the most useful finding.