How to prepare for an audit / inspection?

During audit or inspection, the operation of a safety system looks for the points where it is strong and the opportunities for improvement.

It is important to differentiate between an inspection and an audit. An inspection is mainly accomplished without prior notice; it seeks to identify the part of the system where there are failures. An example of this can be a visit from the FDA. On the other hand, an audit is scheduled, and its objective is to verify the system in its entirety. An example of this can be a certification audit.

Whether planned or not, the food safety system must always remain in place. And for this, it is necessary to have trained staff, managers, and suppliers. This article details the information required for the safety team to be prepared for both audits and inspections. It is not the issue of implementing the safety program, but how staff can comply successfully.

Step 1. Know the hazard analysis based on the production process in depth. A hazard analysis is a process by which information about the conditions that may be or cause a contamination hazard is collected and evaluated. Training staff in this issue favors everyone who feels part of the system and not only the aspect corresponding to their work area.

Once you have the hazard analysis, it is important to study the different regulatory standards applied to the production process. We can identify three possibilities: a) inspection of official regulation, b) audit or inspection by the client, or c) audit commercial certification.

Step 2. Identify the elements that apply within that audit according to the production process.

We need to understand that standards are guidelines that help us decrease food contamination before, during, or after a production process. So we have to train ourselves to use these guides to identify which production process steps can be applied, assess the risk, and identify actions that lead us to solutions with these criteria.

Within the guides, we can identify that they are scientific bases. These bases will help us to an adequate implementation. However, sections will not be applicable due to the very nature of the product we handle.

Step 3. Develop practical questions. Identify the level of knowledge and commitment needed to support the safety plan. Once we have applied the audit criteria, we must ensure that those involved have fully understood and accepted the requirements. Some examples of questions we can ask the staff are:

• Do you apply safety plans at home?
• Why is it important to use a safety plan in the production process?
• How does implementing a safety plan benefit you?
• Mention three aspects of the safety guides that most catch your attention and mention why.

As we can observe, there are questions that we can apply to the personnel involved in the production process, administrative, and suppliers; we will identify the level of commitment and involvement and assess issues to reinforce training.

Step 4. Select the team that will participate in developing the audit or inspection and delegate the functions that each of them will have. These functions can be from welcoming auditors, accompaniment, tour, etc.

When the staff is prepared and knows the functions they must fulfill, it favors a safe environment to concentrate in a better way and support during the tour.

Step 5. It is necessary to ensure that the documentation and records of the process are in the right place, that those responsible for its filling have the history in an accessible location. A system must ensure that the physical or digital documentation works correctly by being in the right place.

Step 6. Simulated audit. Carrying out exercises on possible audits generates confidence in the staff to rehearse possible questions and answers. Act possible questions, scenarios where there could be dangers of physical, chemical, or biological contamination where employees know how to act by carrying out preventive and corrective actions.

As we can see, these are steps that we can apply in a simple way. With these tips, an audit or inspection can be carried out fluidly and with chances of success since the staff will be fully accustomed to observing it as part of the process. Furthermore, these proposals make it easier for employees not to hide mistakes with fear of being punished, facilitating the application of corrective actions.

 

Rebeca Macazaga Álvarez, Master in Biological Sciences.

“I collaborate in the Restaurants team in the development operating procedures for companies that want to implement HACCP systems. I have experience in the food safety area since 2008,  in hazard analysis, training, implementation, and second-party audits.”