Steritech Brand Protection Services

Transcription

1 Steritech Brand Protection Services Audit Services Evaluation Process Criteria for Evaluating Third-Party Audit Providers There are many audit services partners available from which to choose. Selecting the right one is a significant strategic decision and one that demands careful consideration. When evaluating service partners, it is important to use a disciplined approach to ensure a thorough and accurate understanding of both capability and fit. The aim of this document is to provide a framework for completing an assessment of potential audit service partners. It is organized into seven categories, each containing an overview and specific questions to help guide the process. MANAGEMENT STRUCTURE & COMMITMENT Consumers make no distinction between a company and the service providers that it utilizes. Companies can never successfully assign blame for a food safety issue to a sub-par service provider. Consumers rightfully expect that appropriate rigor and due diligence are applied in vendor selection and maintenance. It is critically important for any company to have an intimate understanding of their service partners commitment, passion, and capability to provide them with the service they deserve and their customers demand. 1. What is the legal status of the company? 2. What is the organizational structure? 3. What are the roles & responsibilities related to quality of service? 4. How does the company demonstrate its commitment to quality? 5. How experienced is the management staff? 6. How many audits of this type are completed annually? 7. What is the service coverage area for this type of audit? 8. Does the company use customer satisfaction surveys? For which clients and how often? Protect your brand. The Steritech Group, Inc. is the leading provider of specialized brand protection services in North America. We provide food safety, quality assurance and pest prevention services to industries in which health, safety and cleanliness are powerful drivers of preference and satisfaction.

2 MANAGEMENT STRUCTURE & COMMITMENT Consumers make no distinction between a company and the service providers that it utilizes. Companies can never successfully assign blame for a food safety issue to a sub-par service provider. Consumers rightfully expect that appropriate rigor and due diligence are applied in vendor selection and maintenance. It is critically important for any company to have an intimate understanding of their service partners commitment, passion, and capability to provide them with the service they deserve and their customers demand. 9. What is the customer retention rate? 10. Who are their clients and may you contact them to discuss performance? AUDITOR PROFILE The auditor is the primary service provider and therefore the most important asset in the audit system. It is important to know what types of people are selected for this critical role and how they are compensated. Employees will always rise or fall to a level of expectation so carefully review management expectations, performance measurement and compensation schemes. 1. What are the pre-hire qualifications? (e.g., education, experience, basic skills, personality assessment, etc.) 2. What are the auditor certification and recertification requirements? (e.g., NRA, ServSafe, NEHA Certified Professional - Food Safety, etc.)? 3. How many auditors are on contract? 4. How many auditors work part-time? 5. How many auditors work full-time? 6. On what basis are auditors paid (per audit, per contract, hourly, salaried)? 7. What are the performance metrics for auditors? (e.g., # of audits, quality of audits, customer satisfaction, professional development, etc.) 8. How and how often is performance measured and rewarded? 9. Who exactly will be auditing my facility? ServSafe is a registered trademark of the National Restaurant Association Educational Foundation.

3 AUDITOR TRAINING & CALIBRATION Competency and consistency are at the core of any robust auditing program. Sharp attention to detail and a rigorous process for ensuring that auditors are calibrated on regulatory requirements, public health knowledge, audit protocol, client specifications, and corrective actions are key elements to evaluate in potential service providers. 1. What type of orientation do new auditors receive? 2. How are auditors trained on general auditing process and standards? 3. What is the process for training on clientspecific policies? 4. What type of advanced food safety training is provided or required? 5. Who provides the training sessions and where do they take place? 6. How are in-field calibrations performed? How do you measure success? 7. How are report calibrations completed? 8. How often are auditor calibrations completed? 9. How is the level of calibration measured and reported? 10. What is the process for handling auditors who are out of calibration? 11. Who performs the calibrations and how are they trained? May I speak with this person?

4 AUDIT PERFORMANCE Close evaluation of auditor performance needs to be a focal point of the initial and ongoing processes. There are several approaches to do this, the most common being the shadow audit. During the audit, a qualified evaluator follows the auditor step-by-step, observing carefully and recording notes. The evaluator allows the auditor to complete the audit without feedback, correction or guidance (verbal and non-verbal). At the end of the audit, the evaluator compares results with the auditor to assess how closely they are calibrated on standards, knowledge, process and communications. 1. Is the auditor s appearance proper and professional? 2. Is the proper introduction provided? 3. Does the auditor s demeanor encourage cooperation and appreciation? 4. Are verbal and non-verbal communications effective? 5. Does the auditor exhibit a passion for what they do? 6. Does the auditor project respect for the personnel and client? 7. Does the auditor effectively engage the manager and employees? 8. Are regulatory and client-specific standards clearly articulated? 9. Are client-specific tools (e.g. shelf-life charts, SOPs) effectively referenced? 10. Are open-ended questions effectively used? 11. Are public health and regulatory reasons for standards provided? 12. Are appropriate corrective actions suggested? 13. Does the post-audit debrief provide the manager with a clear summary of the issues and next steps? 14. Is the manager encouraged to ask questions and are they answered? 15. How closely did the auditor s results compare to the assessor s (numerical score)? 16. Did the length of time for the audit match the protocol?

5 AUDIT PERFORMANCE Close evaluation of auditor performance needs to be a focal point of the initial and ongoing processes. There are several approaches to do this, the most common being the shadow audit. During the audit, a qualified evaluator follows the auditor step-by-step, observing carefully and recording notes. The evaluator allows the auditor to complete the audit without feedback, correction or guidance (verbal and non-verbal). At the end of the audit, the evaluator compares results with the auditor to assess how closely they are calibrated on standards, knowledge, process and communications. 17. Does the auditor understand the escalation process for critical issues? 18. During the field test, how many certification sessions were required? 19. What is the calibration variance between auditors and across markets? CUSTOMER SATISFACTION Manager feedback on auditor performance is an integral part of assessment and continuous improvement. A focused customer satisfaction survey should be part of the evaluation and ongoing audit process. There are a number of good web-based systems that are easy to setup, confidential and cost-effective. Use a rating scale (e.g. 1 to 5, 1 to 10) instead of simple yes/no structure to get the most meaningful data set. It is also helpful to allow the managers to add free-text comments about the service. 1. Did the auditor introduce himself/herself? 2. Did the auditor show an identification card and carry a letter? 3. Did the auditor wear a hat and dress appropriately in accordance with the audit protocols? 4. Did the auditor clearly explain the audit process before starting? 5. Did the auditor encourage you to participate? 6. Was the auditor professional and courteous? 7. Was the auditor knowledgeable about food safety & sanitation? 8. Did the auditor teach you about food safety and sanitation? 9. Were you encouraged to ask questions? 10. Were all of your questions answered?

6 CUSTOMER SATISFACTION Manager feedback on auditor performance is an integral part of assessment and continuous improvement. A focused customer satisfaction survey should be part of the evaluation and ongoing audit process. There are a number of good web-based systems that are easy to setup, confidential and cost-effective. Use a rating scale (e.g. 1 to 5, 1 to 10) instead of simple yes/no structure to get the most meaningful data set. It is also helpful to allow the managers to add free-text comments about the service. 11. Did the auditor suggest corrective actions? 12. Did the report provide you with enough information? 13. Was the auditor thorough in assessing your facility? 14. Would you recommend this service to other managers? DATA MANAGEMENT & REPORTING Detailed data capture, management, and reporting are helpful in understanding trends and enabling focused improvement efforts. A good system will allow the facility manager to address specific issues while enabling management to see trends and drill-down information as needed. 1. What is the level of detail of data capture (e.g. category, question, picklist, etc.)? 2. Can the system capture yes/no, n/a, n/o, corrected on-site, or multiple-choice responses? 3. What are the scoring schemes that can be applied to the audit? 4. Can the system provide the manager with a copy of the report on-site? 5. When is the report uploaded for management review? 6. How is management notified of the audit (e.g. e-flag)? 7. What information is included in the e-flag (if applicable)? 8. Does the system have corrective action functionality for both an author and a reviewer? 9. What mechanisms are used to maintain report confidentiality? 10. Is there secure access to a system-wide reporting system?

7 DATA MANAGEMENT & REPORTING Detailed data capture, management, and reporting are helpful in understanding trends and enabling focused improvement efforts. A good system will allow the facility manager to address specific issues while enabling management to see trends and drill-down information as needed. 11. What types of reports are available on the system? 12. How are the reports organized to allow access for different levels within the hierarchy? 13. Does the system allow for the export of data? 14. Can the software be licensed for internal use? 15. How is website and database security maintained? PLANNING & COMMUNICATIONS An understanding of the audit planning process is necessary to ensure that expectations are met. Clear lines of communication and a regular review of goals and performance need to be an integral part of the system. 1. What engagement data is required, in what format, and at what frequency? 2. How far in advance must schedules be finalized? 3. How will schedules be communicated? 4. Who is accountable for the scheduling process? 5. Are audits announced or unannounced? 6. Are there charges for late changes and announced audits? 7. What are the billing options and preferences? 8. Who are the points of contact? 9. What will be the communication process for the test (e.g. kickoff meetings)? 10. What will be the ongoing proactive communication process (e.g. business review)?