[Practical QA Solutions]

Audit Preparation

There are many audits with so little time to get ready. Have you ever found yourself so busy during the last few days before a scheduled audit, that you don’t know whether you’re coming or going? Or do you find yourself staying in the plant far too many hours?

In conducting audits myself, I have sometimes arrived at a plant the night before to ensure I could find the facility, as well as to check out the lighting and observe any last-minute activity. In doing so, I have seen full uncovered trash containers being transported off the property late at night, trailers being loaded and parked in the empty trailer lot, numerous pest control vehicles on the premises with the management parking lot nearly full.

Why is there so much activity and stress associated with these audits? What are some practical solutions for this dilemma?

Audits may be announced or unannounced. There are pros and cons with both. Announced audits usually see a plant applying extensive financial and human resources to show the facility at its best. Money is spent on maintenance to repair items (e.g., automatic door closures) which should have been repaired previously. Overtime is provided for deep-cleaning, placing the master sanitation schedule back in compliance.

On the other hand, unannounced audits show the facility at its day-to-day level. Unannounced audits come with last-minute hustle for details and with some stress in wondering how your day-to-day level will hold up with overall compliance and a particular auditor.

The best preparation for any audit is to assume that all are unannounced. Putting your best forward all the time is the most effective and efficient approach to audit preparation. With many audits and inspections being required for general business today, why think about taking a hustle approach to an announced audit? Conduct periodic self audits as an “I know where I’m at” approach while filling in discovered gaps in a timely manner.

Having a management team member conduct an audit in a cross-check method is also an effective approach. A production manager becomes more familiar with a quality assurance manager’s responsibilities and visa versa. This may also pay dividends by furthering a well-rounded management team.

The mention of a well-rounded man-agement team brings me to an overlooked audit activity. It is a good idea to bring in contractors at specific times for review during the audit process, such as your pest management professional, cleaning professional and independent laboratory representative—to name a few. Have them on site to answer questions that may arise. Good contractors will welcome this activity to show their best in a direct manner to the auditor, and auditors welcome this time to get direct answers

If your food plant operation takes a “we are ready all the time” approach to an audit, you will have confidence when one of your best customers shows up for an unannounced visit. This confidence will be displayed as a first impression during the opening meeting. Better yet, you will have nothing to worry about when the FDA shows up with expanded regulatory powers.

Well maybe not nothing—many of us do worry about expanded regulatory powers.