UL DQS Auditor Evaluation Form

Evaluatee:

Evaluatee’s Audit Standard:

Function:

Evaluation Type:

Section 1: Personal Attributes
Score / Criteria / Comments
* / E M N U / Ethical (Fair, Truthful, Honest, Discreet)
* / E M N U / Open minded (Willing to consider alternative ideas)
* / E M N U / Diplomatic (Tactful in dealing with People)
* / E M N U / Observant (Actively aware of physical surroundings/ activities
* / E M N U / Perceptive (Instinctively aware of and understands situations)
* / E M N U / Versatile (Adjusts readily to different situations)
* / E M N U / Tenacious (Persistent, focused on achieving objectives)
* / E M N U / Decisive (Reaches timely conclusions based on logical reasoning and analysis)
* / E M N U / Self-Reliant (Acts and functions independently while interacting effectively with others)
E M N U / Self-Controlled (Reacts effectively under stressful situations.)
Section 2: Communication and Reporting Skills
E M N U / Systematic/ structured questioning with a purpose in mind.
E M N U / Effective interview and listening skills
E M N U / Maintains questioning within the scope of the audit program
E M N U / Clearly communicates AR’s verbally and in writing.
* / E M N U / Audit Report Preparation
E M N U / Records audit notes in adequate detail in required format
Section 3: Audit Principles and Technique
* / E M N U / Plans and organizes work effectively
* / E M N U / Conducts audit within agreed time schedule
* / E M N U / Prioritizes and focuses on matters of significance
* / E M N U / Adequately reviews documents, records, and data
E M N U / Audits to applicable standard, program, and procedure requirements
E M N U / Verifies accuracy of objective evidence
E M N U / Recognizes discrepant situation
E M N U / Probes discrepant situation to determine extent of issue
* / E M N U / Classifies AR’s as major or minor appropriately
E M N U / Uses appropriate and valid sampling techniques
E M N U / Obtains and assesses objective evidence fairly
* / E M N U / Confidentiality and security maintained
E M N U / Understands and uses process approach
Section 4: Decision Making Skills
E M N U / Separates fact from opinion
E M N U / Bases evaluation of discrepancy and associated objective evidence on program requirements
E M N U / Arrives at conclusions based on objective evidence
E M N U / Remains true to conclusions despite pressure to change that is not based on evidence
Section 5: Management System and Organizational Knowledge
E M N U / Knowledgeable of program standards and industry requirements
E M N U / Application of management systems to different organizations
E M N U / Interaction between components of management system
E M N U / Recognizes difference between and priority of reference documents
E M N U / Application of standard to different audit situations
E M N U / Understanding of organizational size, structure, function and relationships
Section 6 : LEAD AUDITOR SKILLS *
* / E M N U / Leadership in Reaching Audit Conclusions
* / E M N U / Organization and Direction of Audit Team
* / E M N U / Representation of team in communications with Auditee
* / E M N U / Planning/Scheduling/ Effective Use of Resources
* / E M N U / Prevention and Resolution of Conflicts

Section 7: Scoring

E=Exceeds Expectation M=Meets Requirements N=Needs Development U=Unsatisfactory

Score Sections 1-5 for auditor qualification

Score Section 6 and all boxes marked with an asterisk (*) for lead auditor qualification

Auditor Score (Sections 1 to 5): B M N U

Lead Auditor Score: (Section 6): B M N U

+ ISO 14001 Program Qualification Audit Only

++ OHS Program Qualification Audit Only

Section 8: Recommendation

Qualifier’s Recommendation: (Check off one box of each appropriate pair below)

Evaluatee recommended for Qualification or Renewal

Evaluatee recommended for Downgrade

Evaluatee recommended for Disqualification

With Environmental Experience+ With OHS Skill ++

Country(s) of Audit Skill+

Qualifier’s Signature:

Recommendation
Standard(s): ISO 9001:2000/2008ISO 9001:2008ISO/TS 16949:2002/2009ISO/TS 16949:2009AS 9100AS 9120ISO 14001RC 14001OHS 18001ISO 13485CMDCASTL 9000ISO 20000ISO 27001ESD 20.20AAMBlendingSA 8000 ISO 9001:2000/2008ISO 9001:2008ISO/TS 16949:2002/2009ISO/TS 16949:2009AS 9100AS 9120ISO 14001RC 14001OHS 18001ISO 13485CMDCASTL 9000ISO 20000ISO 27001ESD 20.20AAMBlendingSA 8000
ISO 9001:2000/2008ISO 9001:2008ISO/TS 16949:2002/2009ISO/TS 16949:2009AS 9100AS 9120ISO 14001RC 14001OHS 18001ISO 13485CMDCASTL 9000ISO 20000ISO 27001ESD 20.20AAMBlendingSA 8000
Lead Auditor / Auditor / Not Qualified / Downgrade
With Environmental Experience+
With OHS Experience ++
Country(s) of Audit Skill for the following:+
Recommended actions:
Competency Verifier: / Date:
Global Product Manager:
(if applicable) / Date:

Form No. QF-1800-2 Issued: 2/21/92 Revised: 8/16/10