Conduct the Opening Meeting Content Guide

Conduct the opening meeting – content guide

Table of contents

Overview 2

Going on-site 3 Professional conduct 3

The opening meeting 5 Purpose of an opening meeting 5 Preparing for an opening meeting 6 Chairing the opening meeting 6 Opening meetings in larger organisations 13 Establishing the sequence of audit activities 13 Explaining paperwork, audit findings and reporting 15

Summary 17

Further references 18

Feedback to review questions 19

Food Safety Auditing Toolbox 1 Conduct the opening meeting – content guide

Overview

Once you have completed the planning phase of the audit process, you are ready to conduct the audit. Conducting an audit involves three stages: 1. establishing audit protocols at the opening meeting 2. reviewing workplace documents 3. reviewing workplace practice. This Content guide will cover establishing audit protocols at the opening meeting. Protocols are rules or practices that will be followed during the audit. Establishing audit protocols involves consulting with the auditee about how the audit will be conducted. The primary communication about the audit process between an auditor and an auditee occurs at the opening meeting.

2 Food Safety Auditing Toolbox Conduct the opening meeting – content guide

Going on-site

Professional conduct As an auditor you need to project a professional image, dress and act appropriately for a business context and be approachable. Remember, you will be working in a production environment. Usually, long trousers, a jacket with a business shirt and tie or scarf are appropriate for larger manufacturing operations, whereas you can generally adopt a more casual dress style for a rural operation.

Dress to prevent OHS issues You’ll need to ensure that your dress does not create potential OHS issues. Always ensure you are wearing flat shoes, which entirely enclose the foot, are non-absorbent and have a non-slip sole. Before entering the auditee’s operational area, tuck ties and scarves into clothing. Don’t wear high-heeled or platform shoes, as parts of the production area may be slippery. Most food production areas have a ‘no jewellery’ policy. You should check this before the opening meeting. If so, you will be asked to remove jewellery prior to entering the production area. Have all the relevant paperwork, including blank audit checklists, and working pens (not pencils) easily available. Pens should preferably be metal. Remember that no glass or other objects that could fall into food are allowed in production areas. Be mindful that some businesses do not allow even pens and paper to be taken into production areas. You’ll need to ask about this at the opening meeting and then alter your approach to the audit, if necessary. You may need to break the audit into small stages, repeatedly entering the production area and leaving it to make observation notes and to complete the relevant sections of the audit checklist.

Personal hygiene As auditors can be a significant source of cross-contamination, make sure that your hands and nails are clean, and your nails are neatly trimmed. Don’t wear long or false nails, nail polish or strong perfumes. Clean clothing and clean shoes are essential when going into food handling businesses as they can also pose a significant risk of cross-contamination. You may need to think about where you have been recently. You may need to assess if you can even conduct the audit. If you have been in hen-laying sheds in the last week, or own pigeons or fowl, you are usually not welcome

at another commercial hen-laying operation, as you could be a potential carrier of disease. For example, the Newcastle virus was a disease that resulted in mass-slaughtering of hens in specific areas in the late 1990s.

Punctuality Arrive about five minutes before the mutually agreed time for the meeting. Ask for the key auditee contact by name at reception. It is appropriate to act courteously, without arrogance, pompousness or highhanded superiority when speaking with the contact person. You can put people at ease by being pleasant and friendly. Show an interest and an enthusiasm for the task to promote the trust and confidence of your contact.

Ethical behaviour All auditors are required to conduct themselves according to professional and ethical standards. You may be working as a contracted auditor on behalf of a company specialising in food safety audits. Keep in mind you are representing the certifying body, not your own business. Wearing your business uniform or ‘pushing’ your training or consulting services is not appropriate. This is unprofessional behaviour and may breach your employment contract.

Induction to the company Once you have been given a good manufacturing practices (GMP) induction by the auditee contact, you must abide by their rules (unless you are testing their commitment by deliberately flaunting their ‘rules’ to see what corrective actions the auditee takes).

Review question 1

Think about professional people you have worked with. What aspects of their presentation and behaviour contributed to their professional conduct?

The opening meeting

The first step in establishing protocols for an on-site audit is to organise an opening meeting with the auditee’s key representatives.

Purpose of an opening meeting An opening meeting is a face-to-face meeting that is generally held between the auditor (or auditor team), the auditee and their senior management. The opening meeting is a crucial point where an auditor can establish how an audit will be conducted in consultation with an auditee. Its purpose is to: · establish personal contact with the auditee · confirm the plan for carrying out the audit · explain and confirm the activities, roles and responsibilities of those involved in the audit · confirm communication arrangements and reporting requirements · provide an opportunity for the auditee to clarify issues and ask any questions. Practical information you may want to confirm could include: · the products/processes that will be running while you are conducting the audit on-site · the areas to be audited · any expected breaks in production. Briefly explain the audit procedure to the auditee, outlining how the audit will be conducted, the techniques that will be used during the audit and the expected length of the audit. Establish the best way to conduct the audit during the time you are going to be on-site. Also, it is critical to explain the implications of the audit findings and reporting protocols to the auditee. At the end of the opening meeting, set a time for the closing meeting.

Preparing for an opening meeting Prepare an agenda or list of items that need to be discussed before the meeting. Remember that the opening meeting is an opportunity to cross- check the work you’ve already done when planning for the audit.

Chairing the opening meeting It is your role as the auditor to chair the opening and closing meetings.

Welcome and introductions Start the opening meeting by welcoming all attendees. Introduce the certifying body and yourself. Give an overview of your background including where you have worked and your audit experience. This will give the auditee confidence that you are competent to audit their operation. Also, remember to thank the client for choosing to use this certifying body. At the opening meeting, record the names and positions of the people who attend. One method you can use is to provide some paper so that the members can print their names and positions in the organisation. It is a good idea to have an attendance record and audit schedule to circulate to members (see Table 1 below).

Table 1: Attendance record and audit schedule

Food safety audit schedule and attendance record

Date of audit: ______Audit file no: ______Start time: ______Finish time: ______

Company being audited: ______Address: ______Company contact persons: ______Phone/fax/email: ______Auditor’s details: ______Signature: ______

Company staff Position Signature: member Entry meeting Exit meeting

Proposed schedule

Time Location 9.00 am Arrival and set-up 10.00 am Site audit 11.30 am Report write-up 12.15 pm Completion; Auditee sign-off Conditions for The audit may be terminated if risk to team exists, or if conditions arise termination that make continuation of audit unfeasible. Confidentiality No commercially sensitive information will be divulged. Food safety issues will be referred to the Regulatory Authority as required by legislation.

Explaining the audit process At the opening meeting the auditor should explain the audit process. Specifically, that the audit process will involve the:  review of documentation  review of workplace practices  review of records  consolidation of the outcomes of the audit, including the closing meeting. If members of the opening meeting are new to the audit process, then it is wise to explain in simple language the purpose of an audit. Explain that auditing is essentially a systematic and independent evaluation of the past history and current practices to give a future projection of performance. The auditor needs to confirm that the business has validated their processes and procedures. Validation evidence is often based on industry standards or codes of practice. The auditor also needs to verify that these standards are consistently met by observing and questioning the auditee to obtain objective evidence, by examining records, observing procedures and practices and questioning the auditee to establish that the food safety program:  meets the requirements of the standard  is effectively implemented  is appropriate and effective.

Confirming and documenting audit protocols During the opening meeting you will need to confirm and document the:  audit schedule including the date of the audit, when the audit will begin, when it will finish and how long it is expected to take.  type of audit  standard(s) against which the audit is to be conducted  company details including: – company name – site address – postal address – phone numbers – facsimile numbers – email address and website details  company operations including:

– number of employees – market share – history of the business – significant achievements – plans for the future, etc.  product scope including production lines/facilities to be covered  methods and procedures that will be used to undertake the audit, which can include: – an explanation of the results of a desk audit – circulation of a sample of the site audit checklist – discussion of how you will collect sources of information (eg observation of activities, documentation review, interview with on- site staff)  communication protocols including: – how the auditee will be kept informed of developments during the audit (particularly in relation to non-conformities). It may be appropriate for a key contact to be in attendance throughout the audit process so that you can communicate potential non- conformances – the need for a guide or someone who will stay with you during the audit across different operational areas – the names of the people and information you will need to access during the audit – the format of the audit reports – who will receive the reports  resources that may be required to conducted the audit including: – protective clothing – equipment, such as sensors and thermometers – office facilities. When discussing the audit process, use the auditee’s flow diagram in their food safety plan to communicate more effectively to the auditee (it’s theirs and they’ll understand it). If you are conducting the audit in Victoria you also need to confirm is the name of the designated food safety supervisor.

Discussing confidentiality and legal issues As well as confirming the audit details, it is critical that an auditor: · stresses the need for honesty and openness between auditee and auditor

· confirms the requirement to inform the regulatory authority of food safety hazards. A major non-conformity will be reported to the client, agreed and then reported to the Department of Health. An auditor is bound by this process, otherwise there may be legal liability and professional indemnity issues (ie there is a risk the auditor will become an accessory to a breach) · outlines the conditions for termination of the audit (eg where there is intimidation or obstruction; safety issues; or the audit cannot follow the agreed plan and either party wishes to terminate). At this point, you may wish to invite any questions related to the certification process. If the proposal to undertake the work has not yet been signed, ensure it is signed before proceeding any further with the audit.

Promoting good food safety practices You are likely to be working with businesses that hold different attitudes towards being audited. More experienced, good practice workplaces usually welcome input from an auditor as an opportunity to have a fresh set of eyes look at what they are doing and support the business to identify ways they can improve their performance. Less experienced businesses may be wary and nervous about the process. It is useful to remind the auditee that the value to be gained from an audit is not to get a perfect scorecard but rather to get a better understanding of areas for improvement. Everyone gets things wrong from time to time. High performing businesses are those that are able to recognise and learn from their mistakes. Auditors can make an important contribution to this process.

Communicating effectively Effective communication skills are important throughout an audit. During the opening meeting, it is important that you invite the members to ask questions and that you show interest in all you are hearing about the organisation. Auditors also need skills in facilitating meetings and negotiating issues.

Facilitation skills Being able to engage participants and facilitate discussion effectively is important in promoting good communication at the opening meeting and also in ensuring that a successful audit is conducted. Interpersonal skills that support your role in facilitating effective meetings include:  engaging and inviting input from all participants  sharing speaking time  managing interaction between participants

 keeping an open mind  keeping the meeting focused on the agenda  using active listening and providing constructive feedback  not withdrawing or becoming submissive. As an auditor you need to ensure that representatives do not leave feeling frustrated or not listened to. They are less likely to cooperate with the audit process if they feel this way.

Negotiation skills It is likely that as an auditor you will need to employ negotiation skills throughout an audit, particularly to overcome differences of opinion regarding certain aspects of the audit process. Some useful tips when negotiating differences between participants or between you and participants are:  Clarify the issues and seek to establish the interests or perspective of the participants.  Identify whether participants have sufficient information to resolve the issue. If not, identify the additional information required and agree on how to obtain it.  Remain objective rather than personalising issues or comments. For example, ‘You haven’t sent through the food safety documents yet’, not ‘You never give me anything on time’.  Don’t get defensive. It is easy when under attack to take it personally. Remember, that people are liable to get flustered or nervous when they are being audited. Make an effort not to take criticisms or attacks personally.  The process of negotiating issues is as important as the outcomes. It is often impossible to resolve issues in ways that meet the demands of all participants but if people see that the process of discussing and working towards resolution is open and fair, they are more likely to accept the outcomes.

Common meeting problems Effective opening meetings are the result of a team effort. Common problems can occur in an opening meeting: here are some of them with some suggested ways to help solve the difficulty.

Common problems Suggested solutions

Meetings always finish  You could suggest that the team agrees on a finish much later than planned time, and take care that not too many items are put on the agenda.  As the auditor, you could say things that help to move the discussion along.

People do not arrive on time  Ask if the meeting time is inconvenient for for the meeting members. Agree on a time. People are more likely to keep to plans they have helped make.  Say the discussion will have to proceed smartly to make up for a late start.  Try to keep to the times set up in the agenda for each item. Some members do not  You or the chair could ask them what they think. contribute to the discussion  You could suggest that everyone gives their during meetings opinion, one after the other, going around the table. Someone constantly moves  You could suggest they talk about it over coffee the discussion onto their after the meeting, and then promptly ask what is favourite issues that are not the next item for discussion. on the agenda

Recording the minutes An important aspect of managing any meeting is ensuring that any decisions made are well documented to ensure follow-up action is carried out. Take notes of the decisions or actions at the opening meeting. The purpose of the minutes is to record the proceedings of the opening meeting as well as to provide a basis for action. Everyone should receive a copy of what went on. The notes or minutes of the meeting should include:  the time and place of the opening meeting  the names of all people who attended and apologies  topics discussed and actions/outcomes decided  the name of the person responsible for carrying out any action that was agreed to  arrangements for the closing meeting. As auditor, you will need to decide who should take the minutes, although often the chair will ask one of the participants to do it.

Review question 2

What makes an effective meeting?

Think about meetings you are involved in. Are they useful? Do they achieve results? Or do they ramble on without any clear outcomes? Make a list of the behaviours and practices you think are important to support effective meetings.

Opening meetings in larger organisations If the auditee organisation is large and complex, the audit may be undertaken by an audit team and there will probably be more auditee representatives at the opening meeting. In this case, the meeting will need to be more formal. When auditing a large organisation, it is useful for an auditor to provide an overview at the beginning of the meeting. An overview at an opening meeting with a large organisation may include the following information: · the status of food safety within Australia with any new developments (eg May 2006 launch of Coles recognising BRC and SQF2000 Standards for dry grocery) or new regulatory initiatives (eg DAFF and RABQSA working on the new National Food Safety Auditor Scheme 2006) · updates from the owners of proprietary standards, for example Woolworths, and any updates on the services that the auditing body can offer the auditee · dates and venues of significant food-related conferences (eg annual AIFST or food safety conferences, etc) · the advantages of food safety audits. This information may be appropriate for those new to the audit process. Where there are flaws found in a food business’s food safety program, it is better they are found during an audit process by an audit rather than through: o a serious illness or food poisoning outbreaks o the media o inspection by regulatory bodies o rejection of goods by customers o loss of trade from a major customer. However, the items covered at the opening meeting are essentially the same regardless of the size of the operation or how formal the meeting is.

Establishing the sequence of audit activities A well planned audit runs to schedule, covers all key processes and personnel in a logical way and minimises stress levels. To plan an audit effectively, an auditor should confirm the sequence of the audit activities at the opening meeting. To be able to establish the sequence of audit activities, an auditor must have a thorough understanding of the activities being audited. Ask the auditee for copies of the organisational chart, plant layout plans and process flow charts before the meeting and have them available to refer to at the meeting. During this stage of the opening meeting, you will need to confirm: · The scope of the operations—where does the process begin and end? Which areas will be audited? For example, will the audit take place where the ingredients are bought? Or during the weighing, mixing, packing and despatch part of the process? · What operational areas need to be audited and what are their physical locations? For example, a warehouse may be 10 minutes away by car, or goods may be blended on one site and then relocated in bulk bags to another site one hour away for final packing and despatch. · How will off-shift activities be audited? For example, what happens to the food in the production areas at change of shifts, during meal and tea breaks? How well are GMP and cleaning matters attended to at these times? · Which standards will the audit need to be conducted against? This is essential as it can impact on the time allocated for certain activities. For example, a WQA audit on a site manufacturing many products for Woolworths needs to allow the prescribed time for the number of products being audited, whereas other standards may leave time allocation up to the auditor. · Which people and what information will you need access to? An affective auditor must interview the operational staff to confirm knowledge of GMP, monitoring of Critical control points (CCPs) and supporting operational procedures, etc. It is not acceptable practice for an auditor to only talk with the QA personnel, managers and supervisors. · What will the audit schedule be? Confirm that this fits with the availability of the auditee’s personnel and operational activities. Be prepared to be flexible and adjust the audit program if the circumstances change (eg if there are breakdowns, accidents, emergency departures of key auditee personnel, fire or fire drill, etc). In many workplaces, the correct order of review may not necessarily follow the direction of product flow. This is an important consideration, as it may be necessary for you to start at the final

product end rather than the beginning of product flow. This is often the case with high-risk operations where cross-contamination from areas of potentially high contamination to areas of low contamination must be avoided. It is common that cooking areas be viewed prior to raw material handling areas. Remind those at the opening meeting that the audit could take longer if problems or anomalies are found that require further, in depth, investigation.

Explaining paperwork, audit findings and reporting

Checklists Checklists are used by auditors to keep them focused on the task of auditing to a specific standard. Checklists are a list of questions that assist auditors to cover all areas of the standard and operation (as defined by the audit scope). An auditor’s role is to find the answers to the questions. Depending upon the policy of the certifying body, the checklist can be circulated before the audit, during the audit or, as a minimum, shared with the auditee so they feel there are no hidden surprises or agendas. Checklists may be generic and used for all auditees, where they are being audited against one standard. Or, they can be specific to a business, where the documentation is essentially the same across many sites (eg warehouse operations) that are being audited to the one standard. Explain that as the audit progresses you will be taking notes on: · what you have observed · what you have gained from speaking with many people. The checklist then becomes a working record or evidence of the audit and its findings.

Corrective action requests (CARs) During the opening meeting, it is important that you explain the criteria for non-conformances and how they will be documented. Non-conformances are also called Corrective action requests (CARs) or Opportunities for improvement (OFIs). CARs or OFIs will vary from standard to standard. It is therefore vital that you make it very clear to the auditee what a critical, major and minor CAR means. An auditor should also discuss the potential ramifications of the non-conformances, such as ceasing trade, product recall or having certification withdrawn. It needs to be made clear that as the audit progresses, matters of concern will be identified, which could end up being non-conformances. An auditor should notify the auditee when these are identified but the grading of the

type of non-conformance can only happen at the end, or towards the end of the audit, once all the findings are reviewed. Documenting the CAR and discussing potential corrective actions with the auditee generally occurs at the end of the audit, followed by the auditee documenting the corrective actions that will be undertaken to address them. This process must occur at the time of the audit. An audit is not deemed completed until the auditee documents and signs a commitment to fix the problems.

Previous audit non-conformances If applicable, it is useful to discuss any outstanding non-conformances from the last audit. Note that these need to be closed-off before commencing the on-site audit, although, some auditors prefer to close them off during the audit, as they review the area(s) that relate to the non-conformances.

Summary of audit outcomes Explain that a summary of audit outcomes will be left with the auditee at the closing meeting and that a formal report will be prepared and sent within the next week. (This varies, depending on whether the business wants a handwritten report only or a formal typed report which is usually more expensive.) Similarly some standards (eg WQA and McDonalds) require a handwritten report left on the day of the audit.

Summary

The opening meeting is a forum for decision making about the audit to be conducted, followed by some actions required before the audit takes place. The participants have to come to an agreement on decisions. Tasks are allocated resulting from the decisions. As an auditor, it is your role to guide the process of the meeting. The most effective opening meetings have auditors and participants who are capable in all three areas and can make a contribution. The different roles people take on in an opening meeting help the meeting to achieve its purpose. All roles can contribute something to the meeting.

Further references

CSIRO Publishing (1997), A guide to the implementing and auditing of HACCP, SCARM report 60, CSIRO publishing, Collingwood. Foley K (2000) The quality auditor, Quality Assurance Services Pty Limited, Consensus Books, Sydney.

Sutherland, P. S. and R. J. Porritt (1997) ‘Listeria monocytogenes’, In A. D. Hocking, G. Arnold, I. Jenson, K. Newton and P. Sutherland (eds), Foodborne microorganisms of public health significance, 5th ed, AIFST (NSW Branch), Sydney, Australia.

Feedback to review questions

Question 1 There are many ways a person can establish their credentials as a professional. Some characteristics include:  dressing appropriately  punctual timekeeping  being well prepared  technical competence  ability to communicate clearly and effectively.

Question 2 Some useful meeting characteristics include:  make sure people know the purpose of the meeting before they arrive—that way they have an opportunity to prepare  distribute an agenda  nominate someone to chair the meeting  allocate responsibility for note/minute taking  allot time for each item on the agenda  if items run over time either agree to extend the time allocation or defer further discussion so you can work through remaining items  reach and summarise conclusions or outcomes reached—this may include noting action required and allocating responsibilities and timeframes  set a time for follow up/next meeting.