EMS, LLC
On-Site Preparation
Once an assignment is accepted, visit the Program’s Bits and Pieces website for the forms needed to complete the work. If a site is not yet developed, then the necessary forms will be sent to you from Validus. Examples of those forms include:
✓ AA Checklist: Auditor Procedures
✓ On-Site Information (assessment or audit form, program specific forms, additional information sent in from producer, etc.)
✓ Bio-security Procedure
✓ Expense report
✓ Auditor Invoice
✓ Review of Quality Objectives posted on Bits and Pieces
Prior to going On-site, the on-site Information Form should be reviewed for:
✓ Scheduling contact information
✓ Location
✓ Number of animals and buildings
✓ Bio-security protocol & Disclosure statement understanding (both signed)
✓ Was form completed by same person who will be scheduling or attending on-site visit? (This could help you determine if you will have to do a lot or a little education on the phone when contact is made to schedule.)
( Notify Validus if you did not receive all your needed information
Utilize information provided to contact the producer to schedule on-site visit date, time and meeting location. Do any background research needed for visit:
✓ Special concerns producer voiced over the phone
✓ Local pressure or concerns that are being raised
✓ Brief description of audit/assessment process and estimated time to conduct
✓ Verify producer records that will need to be seen
✓ Producer’s Bio-security Protocol
✓ Make producer aware of oversight person, if applicable
✓ Verify meeting location for entrance meeting
✓ Verify producer or day to day manager will be on audit/assessment
✓ Determine date and time for work. (See Producer Contact Section Below)
✓ Leave your phone number with the site contact
Inform Validus after establishing the date and time for the on-site visit (whether the farm has been notified of this date or not).
Make travel arrangements as needed per Auditor SOW: auditor expense guidelines addendum
Prepare appropriate on-site forms:
✓ Within 2 business days of on-site visit, verify on Bits & Pieces website to ensure the most current template available is used, if Bits and Pieces site is provided for the program
✓ Highlight any needed missing information so that answers are obtained during the on-site visit
✓ Compile necessary tools (clipboard/binder, calculator, tape measure, counter, writing utensil, etc.)
✓ Disinfect all biosecurity sensitive items
✓ Prepare work schedule- arrangement that assessment/audit will be conducted.
Producer Contact:
✓ Assessments- Producer should be contacted within 2 weeks of receiving the information from Validus. If the assessment will not occur in the next two months, Validus must be notified and auditor must receive notification from Validus that this delay is acceptable.
o The producer should then be notified again at least 24 hrs before on-site visit is scheduled to verify auditor arrival date and time . An e-mail sent during the week preceding the on-site visit is an appropriate follow-up contact, but if you have not heard back from the producer, be sure to make the follow up phone call the day before the visit.
✓ Audits- Producer will be contacted no earlier than 14 days but no later than 7 days before audit is scheduled on-farm (Auditor note: 7-days is the earliest operations can be notified for the UEP Certified Program).
On-site Procedure and Protocols Checklist
Entrance Interview
( Discuss program goals, purpose and scope including asking producer their goals and expectations of the assessment or audit.
( If needed, address missing information on the Client Request Form
a. Review Biosecurity protocol, disclosure statement and liability
b. Individual confidentiality
c. Clarify who gets copy of final report; check proper box on Client Request Form
( Method of assessment/audit
a. Producer or day to day person needs to be with auditor throughout the day for questions
b. Review any site information that was previously provided by the producer
c. Ask for the order which should be assessed/audited first based on: age of animal, milking times, etc.
( Tour the facility with management if they are available
( Finalize work schedule- Follow program specific SOP’s and/or Work Instructions
Exit Interview
( Preparation- Review and/or organize assessment/audit findings
( Interview
(ASSESSMENT)
Overall results of assessment
_____ Discuss High Exposure Items with definition (items that we feel are or could be a high exposure to program or public perception of the industry). This just raises the level of attention and immediacy that you might give it
_____ Discuss applicable Strengths
_____ Discuss applicable Challenges and corresponding Recommendations
Final report
_____ The auditor will contact the producer to discuss information included on the report not discussed on-site.
_____ Assessors have 1 week to complete and have report returned to Validus; reports are reviewed for quality and mailed to producer (about 3 weeks before report is mailed to producer)
_____ With the final report the producer will get an evaluation to fill out about the usefulness of the assessment process, the assessor, and the quality of the report received
_____ Nothing will be in the report that wasn’t discussed; if something is noticed during report writing, the assessor or Validus office personnel will contact the producer to discuss information included in the report that was not discussed on-site.
(AUDIT)
Overall results of audit
_____ Outline non-compliance items observed
Final report
_____ Nothing will be in the report that wasn’t discussed; if something is noticed during report writing, the auditor or Validus office personnel will contact the producer to discuss information included in the report that was not discussed on-site.
_____ Auditors get 24-40 hours to complete final report and return to Validus (depending on program-specific guidelines); forms are reviewed for quality. If program guidelines allow, an audit summary is generated and mailed to producer (about 3 weeks before report is mailed to producer)
_____ If an audit summary is sent to the producer, they may receive an evaluation to fill out about the usefulness of the audit process, the auditor, and the quality of the report received.
Producers are to call Validus if questions arise (Auditors will be notified from Validus office of any questions from producer)
Ask if the process has met the expectations of the producer
Thank the producer for his time and commitment to being proactive
Post-Visit Process
For both Assessments or Audits - If there are any changes that are found on-site that do not match the information provided to you from the client such as animal numbers, pen locations, etc. record this information on the forms that the producer has sent to Validus. It is essential that we capture any changes in order to show that the information provided to Validus by the producer did not match what was found on the farm. Make sure to notify Validus if such changes occur.
(ASSESSMENT)
➢ Make sure the correct report template version is used (verify with Bits & Pieces website)
➢ Develop Producer Report
✓ Avoid using subjective language (“producer was very knowledgeable about his operation”)
✓ High Exposures
• If left alone, these conditions pose an imminent threat to program theme or result in a negative impact on the public perception of agriculture; be able to defend
✓ Where no information is noted, use notation of some type to indicate area was not overlooked
✓ Observations
• Things that need stated about the overall section; not classified as strength or challenge
• Do not include strengths and challenges in the observation section
✓ Strengths- If applicable
• Something that is or has been done specifically to keep the operation sound (lack of a challenge is not a strength)
• Supporting strengths is optional: if done, short detail as to what is done to consider this a strength; description should give the producer incentive that his/her efforts are worth the time spent
✓ Challenges
• If NOT done/corrected could/is negatively impacting program theme or public perception
• Challenges must have a program theme (animal care)
• Must maintain a 1:1 ratio of challenges to recommendations
• Must sell the challenge
o Must point out to the producer why the issue is a challenge to that site
o Must be reinforced in the report even if it was discussed on the site with the producer
✓ Summary of recommendations
• Highest exposures listed first; remaining items bulleted in “as time and resources allow”
✓ Use example language reference for consistency. Include an educational point if possible (good husbandry practice, increased production potential, consumer awareness, etc).
Before sending to Validus cross-check report language with notes and On-Site Information Form; also check report for grammar and format. For assessments, verify 1:1 ratio of challenges:recommendations, and sign report. Send On-Site Information, Producer Report and observation forms to Validus for QA/QC before the deadline (1 week post-assessment date). Keep a copy until instructed to destroy. Validus will send an e-mail if report is determined “Acceptable” and instruct you to destroy all client information or contact you with further instruction if report is determined “Unacceptable”.
(AUDIT)
➢ On-site Forms are complete & signed.
➢ Send On-Site Information and observation forms to Validus for QA/QC before the deadline specified by your audit program (24 – 40 hours post visit).
▪ Audit report summary will be generated by the Program Manager (first) or DAA (back-up).
➢ Keep a copy until instructed to destroy. Validus will send an e-mail if there are no questions on form information and instruct you to destroy all client information or contact you with further instruction if information is incomplete or additional information is needed.
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Validus
AA Checklist:
Auditor Procedures
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