Evaluating 3 rd Party Auditor Competence

Transcription

1 Evaluating 3 rd Party Auditor Competence October 30, 2013 Robert Prevendar Global Managing Director, Supply Chain Food Safety NSF International

2 NSF is a Global Leader in Public Health and Safety Our core purpose is to protect and improve human health Steadfast ties with key associations and government agencies Global leader in GFSI Certification over 40,000 certified sites We have hundreds of auditors worldwide

3 Auditor Competence com pe tence noun \ˈkäm-pə-tən(t)s\ : the ability to do something well : the quality or state of being competent (Webster s Dictionary) 1. Auditing Skills & Knowledge 2. Technical Skills & Knowledge 3. Behavior & Systems Thinking

4 How Can We Evaluate Auditor Competence? Exam or test of knowledge Observation (witness audit) Interview Review of work product Data Analysis Feedback from auditee Personnel Certification Program

5 Who Evaluates Auditor Competency? Certification bodies Accreditation bodies Scheme Owners Auditees Customers of Auditees Though there are many parties evaluating auditor competence, there is no one set of criteria they are measured against, and those evaluating competence are not necessarily fully aligned

6 Certification Body Evaluation on Auditor Competence Verify pre-requisite qualifications are met Report writing exercises before on-boarding Classroom training with exams Witness audits Evaluation of reports Data analysis Calibration exercises Customer feedback

7 Food Safety Audits A Challenging Job Organize people and information Identify hazards Understand complex technology Apply microbiological principles Evaluate commitment of senior staff Interview line employees Speak in public Manage time Evaluate impact of environment Evaluate structures Review policies Contextualize the standard Interpret procedures and documents Assert control of situation Challenge auditees Receive challenges on findings Maintain professionalism Understand organization Work through various IT systems Apply industry specific knowledge Evaluate training programs Determine suitability of equipment Evaluate HACCP program Write a technical report Communicate expectations Conduct through walk of facility Etc.

8 Some Items Included In An SQF Audit Management Commitment Document Control and Records Specification and Product Development Attaining Food Safety Food Legislation (Regulation) Food Safety Fundamentals Food Safety Plan (HACCP Plan) Product Identification, Trace, Withdrawal and Recall Food Defense Identity Preserved Foods Allergen Management

9 Some Items Included In An SQF Audit Site Requirements and Approval Floors, Drains and Waste Traps Walls, Partitions, Doors and Ceilings Premises and Equipment Maintenance Management of Pests and Vermin Cleaning and Sanitation Personnel Hygiene and Welfare Storage and Transport Control of Foreign Matter Contamination

10 What We Look For When Witnessing An Auditor Pre-audit preparation Have all necessary documents & well organized Understands the products and scope to be audited Opening meeting Set tone for audit Lay out audit schedule Address questions and set expectations Request appropriate documents for review Review of food safety plan Ability to contextualize the plan for the facility relative to standard Ability to assess the sequence and interaction of processes Ability to question hazards identified or not identified

11 What We Look For When Witnessing An Auditor Facility walk through Ability to follow process flow of products Ability to identify food safety risks Ability to identify how conditions may contribute to food safety risks Ability to evaluate suitability of equipment for use with products Ability to evaluate implementation of the food safety plan Conducting Interviews Select appropriate staff to interview & communicate appropriately Use effective interview techniques Listen to responses and confirm responses Document Review Ability to understand document management system Ability to gather evidence from documentation Tenacity to dig as deeply as needed to gather evidence

12 What We Look For When Witnessing An Auditor Compiling evidence to formulate NC summary Verbally communicate NCs as they are observed Clearly & concisely identify NC Site appropriate evidence to justify NC Conducting closing meeting Clearly summarize audit findings Address questions, concerns, challenges Set expectations for post audit process Report preparation Clearly document evidence of NCs Technical writing ability Ability to accurately describe what was observed so it can be understood by someone who was not at the audit

13 Conclusions An auditor must have diverse skills, knowledge, and ability to conduct a competent audit There are several methods for evaluating auditor competence There are many parties who are involved in evaluating auditor competence today without a standardized approach The key to evaluating auditor competence is knowing what is required from the auditor in a given situation Documenting and maintaining records of auditor competence and areas for improvement are critical to any auditor competence program

14 Thank you! Robert Prevendar Global Managing Director, Supply Chain Food Safety NSF International 789 Dixboro Rd. Ann Arbor MI, 48105, USA office: (734) mobile: (734)