Back to Basics: Auditor Performance

1. Back to Basics: Auditor Performance PRI Registrar Auditor Training (Pittsburgh) April 23, 2018 (Revised October 17, 2019)

2. Introduction • This presentation was originally created in 2018, when, over the previous year, PRI Registrar had seen an uptick in customer complaints regarding auditor performance or behavior. • As a way of addressing customer satisfaction and ensuring consistency amongst our auditors, we addressed expectations of auditor behavior. • All the topics covered are still good to keep in mind.

3. Goals

4. Goals • Our goals: • Clarify PRI Registrar’s expectations for the auditors representing us to the customers • Review the basics to make sure all auditors are on the same page • Ensure awareness of possible behaviors/performance impacts • Most recent incidents were committed with no intention to harm or offend • Not our goal: • To insult or punish auditors who are already acting appropriately

5. Goals • We strongly believe that the majority of auditors are behaving in a way that we can be proud of. • However, complaints have been received for a variety of auditors, and often long after the audit was over, as the client didn’t want to rock the boat by reporting the behavior at the time. • We must move forward assuming that a general refresher would be appropriate for all. • As we go through this presentation, if you are already doing what we are asking, give yourself a pat on the back.

6. Before the Audit

7. Before the Audit • Call the client • As you plan the audit, you should always call the client to discuss topics including but not limited to: • Introducing yourself • Asking about the dress code (business casual, casual, etc.) • Asking for recommendations on accommodations • Confirming shifts, PPE • Other logistics

8. Before the Audit • Audit Plan • The plan is to be sent directly to the organization representative at least 30 days in advance of the audit. • If the audit is scheduled with less than 30 days of lead time, the audit plan must still be sent prior to the audit, as early as possible. • The audit plan is to be sent on the RF-12.

9. During the Audit

10. During the Audit • Dress professionally • While different facilities will require different types of clothing, you should always attempt to look as professional as possible. • Conform to the client’s dress code, and ensure that even for casual organizations that clothing is clean and in good repair. • “In good repair,” meaning no ripped or torn jeans. Even if they’re supposed to look that way. • Avoid ball caps, shorts, sneakers and other excessively casual attire.

11. During the Audit • Keep conversation to safe topics • Remember that times are changing, and you don’t know who might be offended by something you say, even innocently. • Treat everyone at the client facility as if they are just about to quit and become a nun or monk. • Totally happened. True story. You can’t make this stuff up. • Be particularly aware of what you’re saying when talking about: race, gender, sexual orientation, health status, or personal situations/finances. • You can still have casual conversation with the clients, but you need to be careful. • Use good judgement!

12. After the Audit

13. After the Audit • Reports are due within 5 days after the audit end date. • If there are extenuating circumstances that would prevent the report from being submitted, contact the client manager. • We have had to put auditors on “hold pay” due to an extended pattern of late documentation. • “Hold pay” means that an auditor will receive compensation for expenses but not their audit day fee until audit documentation is submitted.

14. After the Audit • Auditor responses to NCRs are generally due within 10 days of the client’s response submission. • Be mindful of other deadlines; you might not get the full 10 days if, for example, the cert is expiring. • Expense reports are due for submission within 7 days of the end of the audit. • Receipts must be submitted for all meals. • We expect itemized restaurant receipts in the event they are challenged by the client.

15. Conclusion • This presentation is mostly for awareness purposes. • Keep in contact with clients, and make a positive, professional impression in all of your interactions. • We are a service company in a very competitive business environment and must deliver a great and differential service in order to succeed!