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/ Revision Date: 02/14/17
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PURPOSE: To outline the expectations of the Validus auditors for items discovered during the audit process that does not fit the scope of the service (hereafter service to be defined as audit/verification) being provided. To help guide reporting and actions needed regarding these items in order to maintain the professional level and expectations of Validus auditors for items that could cause consumer concern.

APPLICATION: Applies to all services that Validus Audit Department conducts (animal welfare audits, environmental audits (crop or livestock), on-farm security audits (crop or livestock), quality audits (manufacturing or agriculture), or industry verifications.

INVOLVED PARTIES: Vice President of Auditing (VPA), Program Manager, CEO

APPROVAL RESPONSIBILITY: VP of Audits

DEFINITIONS:

Audit Scope - Each service is given a defined area of activity to review. This could be animal welfare of various species, environmental (livestock, crop or manufacturing related, etc.). During the completion of these services often some type of sampling is used to conduct a thorough and valid review of the operation. The word scope refers to 1) the activity and 2) the sample given for review.

“Outside the Scope” - Items that are either outside the scope and/or outside the sample of the service and could affect human, animal, or environmental well-being. These items if placed on a video or the nightly news would not be acceptable in the eyes of the end consumer and could cause embarrassment to the company and to Validus as the auditing firm. Examples are provided later in this document.

PROCESS STEPS:

A. Auditors are to complete the service scope that has been requested by the Validus client.

a. Areas within scope are that called into question by the auditor are areas that would be viewed during the process that was being completed on the day of the service.

b. Auditors are not going out of their way to find additional items, but rather these are areas that may be viewed during the original scope and were viewed during the process.

B. If during the service an item or area is discovered that does not fit the scope, but is deemed to be an issue by the auditor, the issue needs to:

a. Be documented by recording the location and other pertinent objective details of the situation that can be captured (# involved, animal ID, area of operation, etc.)

b. At the time it is discovered, be brought to the attention of the operation’s personnel who are assigned to be with the auditors, or if no operational personnel are with auditors, the occurrence needs to be discussed immediately upon next interaction with operation’s personnel) ,

c. Discuss this item at the exit interview with management.

d. Call to Validus to discuss situation

e. Note attached to final submitted paperwork that includes write up of issue so it can be included in report (or documentation in final report if auditor is drafting report).

C. Areas that may fall into this category but include but are not limited to the following:

a. Any major spill of manure, chemical, pesticide, fuel, or any other substance that could harm humans or the environment

b. Animal abuse (starvation/throwing/malicious attacks/beating/poking in eyes or genitals, etc.)

c. Excessive erosion (causing channeling that would cause issues to drive across) or runoff

d. Major food-safety threat (i.e. rodents seen in product for direct human consumption lack of containment of chemicals/pesticides within food processing area, etc.)

D. If the auditor is completing an audit and has a question regarding whether or not the issue should be noted, then the auditor is to note the issue and contact the Validus office before leaving the facility for any clarification.

E. Items discovered during this process should be addressed again in the exit meeting after the items within the scope have been completed. If the management disagrees about the items brought to their attention and tells the auditor that it is outside the scope, auditors are to refer to their training and discuss that as an auditor it is your responsibility to bring this to the attention of the management and that the item will be included in a separate section of the final report for their review. As the auditor, it is your responsibility to bring it to their attention.

SUPPORTING DOCUMENTS: AA_Form_Out_of_Scope

UNCONTROLLED DOCUMENT IF PRINTED – Considered obsolete 2 business days from 2/14/2017