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APPENDIX - I

HINTS FOR AUDITORS (ASSESSORS)

The exhaustive list of Auditors traits is given in chapter 7.0. For ready reference to auditors

when they are EMS auditing, the following tips have proven useful.

(1) To make weaknesses become more apparent, compare the written word with whathappens in practice.

(2) Avoid spending time on looking at novel processes; management of time is mostimportant.

(3) Ask people to describe their jobs only after first ascertaining that they know why you are

there.

(4) Listen carefully and ask one question at a time.

(5) Avoid critical s.

(6) Never attempt to write non-compliance notes while you are in the middle of aninvestigation, good report writing needs careful thought and time.

(7) Draft the non-compliance using, as far as possible, phrases from the system standards.

(8) Remember the purpose of an assessment or audit is to establish "Objective Evidence"; itmust never become an adverse situation.

(9) Assess quietly against the applicable standards in a polite and professional manner, witha view to help achieve the required standard.

(10) Don't give a feeling of cross-examining and don't ask leading, loaded, or opinionatedquestions. Use such questioning techniques that will require thinking and explaining inreply, rather than a simple yes or no.

(11) If answers given are unsatisfactory pursue your investigation until you have establishedfactual evidence in order to clarify the situation, but watch your time.

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APPENDIX - II

QUALITIES, WHICH AN AUDITOR SHOULD POSSESS

(1) Wise and alert with the ability to adapt to different people and situations.

(2) An appropriate industrial experience, especially in all departments of companies, andmust be conversant with laboratory techniques.

(3) The ability to question people to ascertain the facts (without offending them) and also tolisten to them.

(4) An EMS of perseverance.

(5) Knowledge of EMS system standards and of assessment and audit techniques.

(6) An analytical brain.

(7) Sensitive to feelings, attitudes, and motives so as to understand what people meanwhen they say something.

(8) Not expressing opinions during audits.

(9) Ability to discuss without arguing.

(10) Adequate skills in dealing with people at all levels.

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APPENDIX - III

GUIDELINES TO THE GUIDES DURING AN EXTERNAL AUDIT

Whenever auditors of a certifying body (or of the customer) visit companies for auditing EMSsystems, company guides should aid the auditors. Their duty is also to clarify doubts raised by

the members of the auditing team.

Following are some of the tips to be kept in mind by guides before and during the audit:

Guidelines for Guides

CHECK LIST FOR GUIDES:

(A) Have a final check of your area just before the Assessors arrival.(B) Know your departmental procedures.(C) Know the Assessment Program.(D) Know your Assessor.(E) Be punctual.(F) Be factual.(G) Do not argue with or hustle the Assessor.(H) Keep the Assessment Co-coordinator and line management fully briefed.

FINAL AREA CHECK:

(A) All absolute documents are removed.(B) All unidentified materials and components are disposed of.

(C) Calibration status is maintained on all equipment.(D) Proper identification marks are present on intermediate and final products.(E) Record files are maintained up-to-date and are easily traceable.(F) Work instructions, EMS samples, etc., are at proper places at all workstations.(G) Inspection status of the products is clearly identified.(H) Make sure that objective evidence is readily available for compliance with standard

procedures.(I) Copy of assessment program is received and designated areas and time of escorting

identified.(J) Ensure that all the key members of the relevant department will be available during the

audit, when required.(K) Be punctual for all appointments during the audit, and introduce the external auditor to

senior departmental personnel.(L) Do not supply non-compliances to the auditors.(M) If the question asked by the auditor is not within the employee's job knowledge, the

auditor is tactfully advised of this fact.

Moreover, the guide should know the work of each employee of the department to whom he is

escorting the auditor. He should answer the auditor's questions briefly, courteously, and

truthfully. He should not argue with the auditor or allow himself to be provoked.

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APPENDIX - IV

MOST COMMON NON-CONFORMANCES

The most common non-conformances are given as a ready reference for you to check beforeassessment audit.

Absence of Training Records for EMS system

Uncontrolled documents on the manufacturing floor

Procedure does not reflect the reality and vice versa

Few departments aspect-impact not identified

No control on significant aspects

No revision number on drawings/procedures

Non-calibrated equipment in the area

Storage area not identified

Preventive Maintenance overdue

Incorrect storage methods

Employees unaware of Policy and Procedures

Ship to Stock listing not updated regularly

Unauthorized Purchase Orders/Procedures/Policies

No reject tags on defective material

Safety housekeeping/handling instructions not followed

Operator present

New Product Introduction process does not reflect the reality

Vendor Rating not carried out regularly

No evidence of Vendor Survey Results meeting being held

Internal audits not carried out regularly

Corrective action report not issued/updated regularly

Written Instructions inadequate

Failure to follow instructions

Unauthorized document changes

Obsolete documents not removed from point of use/issue

Ineffective corrective and preventive actions

Uncelebrated equipment in use for an average product in storage Repair operation not effective

Reworked product still wrong

No labeling of status after calibration