Who Are These Auditors Coming on My Farm? - PORK Academy - Collette Kaster, PAACO, from the 2017 World Pork Expo, June 7 - 9, 2017, Des Moines, IA, USA. More presentations at http://www.swinecast.com/2017-world-pork-expo

1. Who are these
auditors coming on
my farm??

2. So. Much. Paperwork.
• Pork producers and
their packers are
subject to…..if you
didn’t document it, you
didn’t do it.
• Other industries being
buried under
paperwork as
well…teaching/health
care.
• Why??
• Defensive strategy
• Prove to customers and
regulators that you have
conducted ‘due diligence’
on a supplier.
• Trickle down
• I’m required to do this so I
need to require my
suppliers to do this too.

3. Sometimes paperwork is
a formality……
•Training records for a two
person family operation….

4. Sometimes paperwork
really, really matters……
• Treatment records
• Medicated feed records
• Traceability
• Training
• Undercover video
• Can help you prove your position OR at the least,
minimize the damage.

5. Auditing in the Pork Industry
• 1959 The first HACCP system
developed
• 1989 The PQA® program is launched
– Sulfa residues
– Food safety
• 1996 HACCP and SSOP made
mandatory by USDA FSIS
• 2001 TQA is launched
• 2003 SWAP program introduced
• 2005 Take Care program
• 2007 PQA Plus® program launched
• 2008 We Care responsible
pork initiative
• 2008 Packers commit
• 2013 Pork Industry Forum
– Advisement introduced
• Requesting NPB to facilitate the formation
of one industry standard
• 2014 Industry Audit Task Force meets
• 2014 CSIA is PAACO Certified and
Published
• 2015 All major Packers using or
accepting CSIA
• 2015 Swine Auditor Training
Curriculum in development
• 2016 PQA Plus Site Assessment
mirrors CSIA
• 2016 First Swine Auditor Training –
University of MN

6. PAACO’s Purpose
• An organization founded and guided by livestock
experts that:
1. Provides training and certification for animal
welfare auditors
2. Certifies animal welfare audits
• A certifying body for animal welfare.

7. Professional Animal Auditing
Certification Organization
Founding Member Organizations (8)
◦ American Association of Avian Pathologists (AAAP)
◦ American Association of Bovine Practitioners (AABP)
◦ American Association of Swine Veterinarians (AASV)
◦ American Dairy Science Association (ADSA)
◦ American Registry of Professional Animal Scientists (ARPAS)
◦ American Society of Animal Science (ASAS)
◦ Poultry Science Association (PSA)
◦ American Meat Science Association (AMSA)
Working with all food system stakeholders
◦ Customers, regulators, academics
◦ Production & processing

8. What we are not?
Who you call to schedule
an audit.
The group you call to argue for points for your score!
The
employer
of
auditors.
The author of audits.

9. Why Certification?
• Demand for livestock welfare audits has never
been greater.
• Auditors are expected to carry relevant
certifications such as ISO, BRC, SQF, HACCP, and
PAACO currently serves in a role as a certification
body for AW.

10. Audit Instrument Certifications
• NAMI Meat Plant
• Cattle, Swine, Sheep
• Dairy Production
• Validus
• Dairy Well (in process)
• Swine Production
• FACTA
• Common Swine Industry Audit
• Validus
• Broiler Production
• Perdue
• FACTA
• Process Management
Consulting
• Turkey Production
• FACTA
• Cattle Feedlot
• National Cattle Feeders
Association (Canadian)
• Dean Dairywell
• BC SPCA Wildlife Kind

11. 1. Define the scope of the audit. As appropriate, all segments of an audited operation must be included.
2. Good breadth and valid, measurable outcomes of welfare that reflect current animal welfare science.
3. Specific methods to evaluate the presence of both a) willful acts of abuse and b) neglect.
4. Identifying or stating which measurable outcomes (from #2 above) result in failure and non-
conformance.
5. A plan to address non-conformances.
6. Direct inspection by the auditor of animals, the environment, and review/verification of records kept
for injuries, morbidity, mortality, treatment, and euthanasia.
7. Evidence that (a) nutritional programs are adequate and (b) that there is veterinary oversight of animal
health.
8. Caregiver standard operating procedures (SOP’s) to ensure day-to-day care; these must include, but
are not limited to:
 Frequency and nature of observations appropriate to the animal
 Animal health plan including prevention (including biosecurity), detection and treatment of sick
animals
 Timely and effective euthanasia, consistent with the AVMA Panel on Euthanasia
 Management of the environment
 Training of personnel in animal care
9. Capacity to provide effective protection from extreme environmental conditions (thermal, wind, solar,
rain, snow, etc.) appropriate to the system and geographic location.
10. Readily accessible emergency response plan including written emergency contact information,
appropriate to the system, to reduce the likelihood of and address the effects of catastrophic events.
11. A commitment to ongoing reinforcement of and attention to animal welfare. These include
documentation of ongoing personnel training for animal welfare, internal assessments, and corrective
actions, when appropriate.
12. A clear separation between production and marketing criteria and animal welfare criteria in the audit
tool and program.
PAACO Audit
Instrument
Standards

12. PAACO
TRAINING
COURSES &
CERTIFICATION

13. Auditor Certification
1. Qualify for certification with the required education
and experience
2. Attend a PAACO Certification Course
3. Complete and pass the exam
4. Complete shadow audits with a certified auditor
5. Submit shadow audits and code of conduct for
approval
6. Once approved, you will be listed as an auditor at
animalauditor.org
7. We have an app as well!

15. Meat Plant Animal Welfare
Training
• 2 days
• Pork, Beef and Lamb
• NAMI Guidelines/Audit Tool
• Industry-based instructors
• Includes transport through slaughter
• Exam
• Task Force of Trainers-Industry Experts
• Temple Grandin

16. Poultry Animal Welfare Auditor
Training
• Annual 3 Day Training-US & Canada
• Broiler, Turkey and Layers
• US Industry Assn Welfare Criteria
• Live production and processing plant
• Trainers are a key group of highly
experienced instructors from
academia and industry
• Exam

17. Swine Welfare Auditor Training
• Based on the NPB Common
Swine Industry Welfare Audit
• Curriculum Developed with
ISU and The Ohio State U. as
well as the Curriculum
Committee
• Training started fall of 2016
• Breeding through Transport
• Comprehensive Exam

18. Pork Industry Support
Trainers and Technical Support
Audit Materials
Instructors and Curriculum Input-
Jamee Eggers & Sherrie Webb

19. Spaces have been
allocated to audit
companies and those in
production systems
who are actively
auditing and leading
AW efforts.
Limited customer
attendance.
5 TRAININGS
COMPLETED
• 75 Trained

20. Training Overview
• Must meet PAACO Certification Requirements
• Complete On Line Prerequisite: Swine 201
• 2.5 day course w/ 8 hours of curriculum
• 9 Modules with Scenarios
• Next one is at SDSU September 20-21, 2017
• Class size limited to 20
• Experienced instructors typically include curriculum
instructor, NPB, and a vet

21. Examination Policy
 Measure of basic comprehension of presented
material &/or industry audit materials
 Passing score established by PAACO Board
 Failure of initial examination
 Re-test allowed once
 Time & location agreed upon by PAACO
 Failure of second examination
 Must take entire training and examination at full cost

22. Completing Certification
• After test completion,
must complete 2
shadow audits of
breeding and non-
breeding production.
• With a certified auditor
• Can be observed by the
auditor or observe the
audit

24. Code of
Conduct

25. PAACO Website & APP
animalauditor.org

26. Annual Auditor Recertification
• Annual recertification required to maintain certification
• One year from the date you are certified, you must apply for
recertification
• Recertification will be approved, if you have completed the
Continuing Education requirements:
• 12 hours of contact time of relevant classes, seminars, or meetings
• Courses or training approved by PAACO (on line &/or in person)
• Can include up to four (4) hours with another PAACO auditor while
conducting audits

27. What are auditors taught?

28. Key Messaging
• They are there to document conformance, not to play
gotcha!!
• Use and compliance with a new standard is a
process!!
• Write a report that creates a complete picture of the
audit.
• Something you can pick up in a year and visualize.

29. Auditing
• A profession and a discipline.
• Its own rules and procedures.
• Collecting evidence of conformance to a
standard while using an ‘audit instrument’.
• Direct observation, documentation,
employee interviews.

30. Auditors Strike a Balance
Strong technical
and ethical
characteristics
Good auditors also
possess the following
additional characteristics:
– Vision and instinct
– People skills
– Decision-making
ability
– Superior
communication skills

31. Auditor Traits

32. People Skills
• Ability to deal with all type of clients in all types of client situations
• Auditor must have the ability to put people at ease and be able to
empathize from the client perspective
– May have a fear of the auditor because they don’t like someone looking
over their shoulder
• Show respect for the client
• Listening – not to hear the answer but for understanding
• Within your firm and your audit team – be a team player as the
entire team is working toward a common goal.

33. Decision-Making Ability
• Once the evidence has been collected,
determine what is relevant and what is
not
• Be a strong and effective decision maker
• Waffling around on a decision causes the
client to lose confidence in their auditor

34. Client Relationship
• Act in a professional manner as a faithful agent or trustee for each
employer or client
• Conflict of Interest:
– Inform each client or employer of any business connection, interests, or
affiliations that might influence your judgment or impair your services
• Confidentiality:
– Do not disclose information concerning the business affairs or technical
processes of any present or former employer or client without his or her consent.
• Do not accept compensation from more than one party for the same
service without the consent of all parties.

35. Preparation
• Scheduling audits and travel
• Be prepared – look at the information you need to
complete the audit and devise a plan for how you
are to get that information
• Work with the company to schedule the day, time
and location of the audit.
• Finding your way to the site

36. Biosecurity Concerns
• Down time from exposure to biosecurity risks
– International Travel
– Farm Exposure (including hobby farms, fairs, etc.)
– Full disclosure – may get special dispensation
• Farm procedures
– Order of farm visits
– Decontamination procedures
– Bio-protective clothing
• Plant procedures
– Clean and Dirty areas
Each facility
is unique.
DO NOT
CRITIQUE
BIOSECURITY

37. Execution
• Chair the Opening Meeting
• Discuss any non-conformances immediately
upon identification
• Address differences during the audit – refrain
from commenting on unrelated observations
• Chair the Closing Meeting

38. Best Practices-AUDITS
Interviews
Documentation
Direct Observation
If you identify an issue – discuss it at that
moment

39. Interview

40. Documentation
Written Records
and Procedures
Question Record/Doc
37 TQA Certified
40 PQA Plus Certified
54 Emergency Backup Equipment Tested
55 Written Euthanasia Plan
55 Euthanasia Plan Location
56 Records of Maintenance of Euthanasia Equip.
57 Caretaker Training
58 Written Zero Tolerance Policy
59 Reporting Mechanism for Abuse
60 PQA Site Status
61 Internal Site Assessment
62 Daily Observation Records (12 Months)
63 Written SOP for An Handling
64 Written SOP for Processing Procedures
65 SOP Feed & Water Protocols
66 SOP Daily Observations
67 Written SOP for Caretaker Training
68 Written SOP for Treatment Mgmt
69 Emergency Action Plan & Numbers
70 Record of Mortalities on Farm (12 Months)
80 Animal Health Products – Storage and Dates
81-83 Needle Sizes & Disposal of Needles
84 VCPR
85-86 Compliant Med/Trt Records (12 Months)
87 VFD Record (24 Months post Jan 1. 2017)
88 SOP Needle Usage incl Broken Needles
90 Biosecurity SOP
91 Rodent Control SOP
93 Visitor Log
94 Biosecurity Signage

41. Direct Observation
How long to observe the process?
How to do the direct observations?
Exactly as the
audit
instrument
dictates.

42. Responsibility of the Producer
• You, or a key manager, should accompany the auditor
• Do not pump the auditor for competitor information.
• Do not dispute the validity of individual audit
instrument points. aka…that’s a dumb question.
• You CAN respectfully question the findings
• Provide reasonable levels of comfort afforded to other
visitors and office employees.

43. Consulting-NOT COOL!
• The management team is already in
place to set handling, husbandry,
veterinary, nutrition and quality
assurance practices.
• It is improper (even destructive) to
violate the chain of command.
• One fix may cause ten more problems.
• Don’t recommend management
changes!

44. Main Complaints about Auditors
• Scope Creep-by far the most common
– Topics outside the audit
– Animals outside the sample
• Opinions
• Smug or condescending
• Unnecessary interactions with non
company employees such as truck drivers
or regulators.

45. What’s on the horizon??
• Continued emphasis
on animal welfare and
with it increasing
expectations.
• Global standards - OIE
• Other audit standards:
GAP, AHA, American
Humane
• Continued research
into this area
• Animal behavior-
psychology
• A life worth living
(Mellor, 2016)

46. Common Questions
• Do auditors have to follow biosecurity?
• Can they show up unannounced?
• Are there background checks on auditors?
• What do I do if I disagree with their interpretation?

47. Thank you! Questions?
• Comments or thoughts?
Input very welcome to
ckaster@animalauditor.org