Auditor Report Card Effective January 2018, PRI Registrar started gathering data to help evaluate the risk and performance of our auditors. The criteria we will be reviewing today will be used as measurements for performance as part of our Auditor Management procedure.

Purpose of the Report Card ISO/IEC 17021-1:2015 requires that we monitor auditor competence based on a combination of audit documentation review, customer feedback and witness audits. We will be using the office review of documentation and customer feedback to establish risk-based intervals for on-site evaluation via a witness audit. It is important that you, as suppliers and partners of PRI Registrar, receive all available feedback on your performance on an on-going basis, in order to drive continual improvement.

What the Report Card Isn’t Intended to do: Be Unfair Give Biased Evaluations Fire You! Criticize you! Demoralize Reprimand

Surveys: Audit Documentation Client Satisfaction Scheduling Methods of Evaluation Surveys: All surveys are conducted on a scale of 1 – 5 1 = Unsatisfactory to 5 = Excellent Audit Documentation Client Satisfaction Scheduling

Methods of Evaluation Audit Documentation Client Manager Survey: Following each closed audit, the client manager completes a survey consisting of 3 questions evaluating the auditors: Timeliness and Accuracy of Audit Documentation Responsiveness to Requests

Did the auditor submit the audit report within the scheduled deadline? Methods of Evaluation Question #1 Did the auditor submit the audit report within the scheduled deadline? Rating Scale: 5 = Exceptional (5 business days or less) 4 = Exceeds Expectations (6 - 8 business days) 3 = Meets Expectations (9 - 10 business days) 2 = Improvement Needed (11 - 12 business days) 1= Unsatisfactory (13 business days or longer )

Did the auditor complete all documentation accurately? Methods of Evaluation Question #2 Did the auditor complete all documentation accurately? Rating Scale: 5 - Exceptional (No Typo’s or Revisions) 4 - Exceeds Expectations (1 Typo/No Revision) 3 – Meets Expectations (Minimal Typo’s/ No Revision) 2 - Improvement Needed (Multiple Typo’s and /or 1 Revision) 1 - Unsatisfactory (Multiple Typos / 2 or more Revisions)

(Includes responding to emails and returning phone calls) Methods of Evaluation Question #3 How responsive was the auditor in troubleshooting issues throughout the audit process? (Includes responding to emails and returning phone calls) Rating Scale: 5 – Exceptional (Same Day) 4 - Exceeds Expectations (1 business day) 3 – Meets Expectations (2 business days) 2 - Improvement Needed (3-4 business days) 1 - Unsatisfactory (5 business days or longer)

Client Satisfaction Methods of Evaluation Professionalism Following each Stage 2, Recertification, or Surveillance, clients are offered the opportunity to answer 7 questions about auditor performance related to: Professionalism Communication Knowledge Value Added Any responses that are submitted are logged, and the scores for each question are averaged together equally.

Client Satisfaction Survey Questions Methods of Evaluation Client Satisfaction Survey Questions Scale Rating: 5= very satisfied 4= somewhat satisfied 3= neutral 2= somewhat dissatisfied 1= very dissatisfied Question #1: How satisfied were you with the professionalism of the auditor? Question #2: How satisfied were you with the communication by the auditor (on and off-site)?

Methods of Evaluation Customer Survey Questions Cont’d: How satisfied were you that our auditor improved your understanding of the standard? Question #4: How satisfied were you that our auditor used time effectively to complete your audit?

Methods of Evaluation Customer Survey Questions Cont’d: How satisfied were you that our auditor added value to your Management System? Question #6: How satisfied were you with how the auditor explained each nonconformance? Question #7: How satisfied were you with the auditor's explanation of PRI Registrar’s nonconformance response process, including the appeals process?

Scheduling Methods of Evaluation 1 - Blank/Never Uses Each quarter, the PRI Registrar Scheduling department completes a survey regarding the auditor’s use of the RMS calendar for scheduling purposes, with possible scores of: 1 - Blank/Never Uses 3 - Mostly Current 5 - Always Current Scores for each quarter will be averaged together equally.

Weighted Average Score: Methods of Evaluation Weighted Average Score: 50% - Audit Documentation 40% - Customer Satisfaction 10% - Scheduling

Frequency of Witness Audit Methods of Evaluation Frequency of Witness Audit Intervals for on-site witness audits will be determined by the risk category assigned to the auditor based on these general criteria: Weighted average score from surveys Number of audit days performed for PRI Registrar annually External complaints received outside of the customer satisfaction survey Witness audit results

Risk Categories and Associated Witness Intervals Methods of Evaluation Risk Categories and Associated Witness Intervals Witness audits will count towards on-site witness evaluation, re-setting the interval, but poor performance may change the auditor’s risk category, resulting in a shorted interval. Risk categories will be evaluated on a semi-annul basis. If the change in risk category results in a shortened interval, and the new required witness year has already passed, the witness will be scheduled for the following year. High 2 years Medium 5 years Low 10 years

Auditor Report Card Auditor Report Card Auditor Information: Report Generated: 1- Jan-2018 Auditor Information: Auditor name Joe Auditor Period of evaluation Jan 2017 – Dec 2017 Number of audits performed in the period 15 Number of audit days in the period 40.5 Auditor Scores: Audit documentation score 4.02 Client satisfaction score 5.00 Scheduling score Total weighted score 4.51

Auditor Report Card Witness Audit: Year of next witness 2026 Year of last witness 2016 Risk category Low Year of next witness 2026 Customer Feedback Comments: Joe Auditor was firm, fair, stuck by the audit process but helped us understand. He is a great blend of an auditor and instructor, while still maintaining the separation of duties.   OUTSTANDING assistance in drawing attention where it matters. Best, most professional and knowledgeable auditor we've had to date. Joe Auditor was very professional and asked good questions to get an understanding of the various processes that he audited. Disclaimer: This report is confidential, will not be shared with anyone but the evaluated auditor.

How often will I receive a Report Card? How can you impact your score? Conclusion How often will I receive a Report Card? Semi-Annually How can you impact your score? Market the Client Satisfaction Survey Participate in PRI Registrar Training Use your Calendar Exhibit Highly Ethical and Professional Behavior Conduct a Fair and Professional Audit

Conclusion