Review workplace practices – content
guide
Table of contents
Planning the walk through
2
Preparation
3
Other types of questions
8
Putting it all together
9
Cultural differences
10
Conducting the walk through
11
Communicating in the workplace
17
Key principles of active listening
18
Further references
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1
Planning the walk through
When planning a walk through of any food production premises it is
important that the auditor is aware of the following:
1.
2.
3.
Know who will be your guide during the walk through. Bear in mind
that in Victoria all food processing establishments must have a
nominated food safety supervisor. Nominated food safety supervisors
must have obtained minimum qualifications (or equivalent) in safe food
handling practices according to the following national competency
standards:
a) THHBCC11B Implement food safety procedures
b) GFSMFSRA Apply and monitor food safety requirements
c) FDFCORFSY2A Implement food safety program and procedures
Note—in future these competencies may change. For an updated list of
competency standards for food safety supervisors visit the Food
Safety Victoria website: www.foodsafety.vic.gov.au
The nominated food safety supervisor, or a member of staff who has a
good working knowledge of all processes and procedures is the ideal
person to guide the auditor on a walk through of the food processing
establishment.
Make sure you as the auditor have your audit checklist at hand. An
audit checklist is useful and essential when conducting an audit. It acts
as a prompt for the food safety auditor and helps ensure that all critical
areas of the establishment’s physical structure and design, equipment,
process layout, storage and personnel are checked with respect to food
safety. In addition, audit checklists often include prompts to review
important aspects of the food safety plan, such as HACCP
documentation, corrective action protocols, business registration details,
cleaning and sanitation procedures and other documentation that may
be overlooked if memory alone is relied on. Highly detailed audit
checklists are a great help for new or inexperienced food safety
auditors, however, they are often lengthy and time consuming to fill
out. As an auditor gains more experience he or she may wish to omit
some of the detail on the original checklist and pare it back to main
headings only, leaving space to write notes under the headings for
reporting non-compliance issues by exception. For instance, in a
detailed audit checklist the section on cleaning and sanitation may
prompt the auditor to look at the following points:
a) the frequency of cleaning
b) who is responsible for cleaning
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c)
d)
e)
f)
4.
the types of chemicals used
the temperature of the water used (hot or cold)
the type and concentration of sanitiser used
the sanitary storage of cleaning equipment (ie mops in good
condition, stored so that they can dry out, buckets empty of dirty
water, sponges and other cleaning equipment not worn out and in
need of replacement).
As the auditor gains more experience they will automatically know that
these detailed aspects of cleaning need to be covered and may wish to
trim down this section of the audit checklist to simply the heading
‘Cleaning and sanitation’, leaving out the detail. Enough room should
be left to write notes about all the aspects that will be checked and nonconformances reported by exception.
5.
In addition, make sure you have a pen and additional room to write
notes on any aspect of the walk through that you may be required to
follow up with other employees or mention in the final report.
6.
It is also important that the auditor notes down examples of activities
that are observed to be done well by the business, as this evidence can
be used as positive feedback in the final report.
Preparation
When preparing for a walk through of a business, it is important for the food
safety auditor to know the scope or extent of what needs to be covered. For
instance, if the food safety audit is to be conducted on behalf of a major
customer of the business, perhaps a supermarket chain, then the scope of the
audit may be restricted to a single production line or product that is
supplied. If the audit is being conducted as a part registration of the business
to a local council, as dictated by legislation, then all lines and processes will
need to be reviewed. If the business is applying for an export license then a
different set of parameters will apply. The company will need to meet
AQIS’s Processed food orders (Export) relating to process lines.
These issues should be addressed early on through the process of ‘Setting up
audit protocols’. During this phase the auditor should ensure that on the day
of the walk through personnel, process lines and activities relating to the
audit requirements are running and available for inspection.
Know your audit trails!
Know what audit trails are to be followed through. It is also important to
note that if there are any serious food safety issues or anomalies picked up
in the audit of work place documents, that sufficient time is available to
thoroughly investigate these issues on the factory floor. The auditor needs to
be satisfied, through further investigation and evidence, that the anomaly or
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issue does not constitute a food safety risk, or alternatively requires
corrective action by the company to address the issue.
Know your food safety standards
The food safety auditor needs to know what aspects of the Food Standards
Code will be audited against. A good working knowledge of Chapter 3 of
the Food Standards Code is essential.
The important elements of Chapter 3 of the Food Standards Code, Food
safety standards, are outlined below.
All food safety auditors need to be aware of the requirements in these
standards. They can be found at www.foodstandards.com.au.
Standard 3.2.2 Food safety practices and general requirements—
Elements to be covered in a walk through are:

skills and knowledge of food handlers

goods receipt

food storage

food processing

food packing

food transportation

hygiene of food handlers

cleaning and sanitising and maintenance

temperature measurement

process controls

calibration of measuring devices

pest control.
Standard 3.2.3 Food premises and equipment—Elements to be covered
in a walk through are:
4

design and construction of a food premises

water supply and potability

sewage and wastewater disposal

storage of garbage and recyclable matter

ventilation

lighting

design and construction of floors, ceilings and walls

design and construction of fixtures, fittings and equipment
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
hand washing facilities

food transport vehicles.
The hygiene guidelines below are to be followed when heading out onto the
factory floor:

dress correctly—put on protective clothing (use the company’s
clothing for visitors, etc

wash your hands

wear ear protection and safety glasses if this is required

wear appropriate head gear

observe all company rules and regulations.
Important tools of the trade
Wherever possible, an auditor should carry:

audit check sheet

notebook and pen

thermometer (accurate to +1°C) calibrated

torch for inspecting dark areas—plastic lens shield.
Interviewing and questioning personnel
In order to highlight non-conformances in the audit report, it is essential that
you have an accurate understanding of issues raised by employees during
the walk through of the food processing premises. You need to understand
exactly what a worker is telling you before you evaluate its relevance to the
audit findings. Effective questioning is the most important strategy you will
use for working through the audit checklist and for uncovering any
problems that need to be reported. This is especially important in identifying
non-conformances. Even what appear to be trivial issues can develop into
something of significance, so you must ensure that you have the correct
facts. When you are talking to staff it is also critical that you listen carefully
to the facts.
Why ask questions?
The most obvious reason for asking questions is to gain information for the
audit report. In order to do this you will need to:

encourage employees to share facts, insights and concerns openly

help employees identify and clarify problems

help employees expose any further problems
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
show employees that you are interested in, and want to understand,
what they have to say.
Tips for asking questions

Only ask questions that will help move the employee forward.

Avoid asking questions because you feel at a loss and asking a question
gives you a way out.

Avoid questions that satisfy curiosity but have little or no relevance to
the issues at hand, ie only ask about the items on the audit checklist.

Too much questioning can make the employee feel they are being
interrogated.

Too little questioning can imply a lack of interest, understanding or
concern.

Avoid questions that ask for trivial information which does not relate to
the employee’s immediate explanations or insights.
Types of questions
Below are some types of questions that you may find useful:
Open questions
Open questions encourage the exploration of issues, thoughts and feelings.
They ask the talker to describe something in their own words. Open
questions are great to use when you want a staff member to expand on the
issue they are talking about.
Open questions often start with:

What—this is when you are asking for facts

When—the time something has occurred

How—the way the process or feeling has emerged

Where—the location of the event

Would/could—to open the focus or to hypothesise.
Open questions gather more information. Someone answering an open
question cannot answer with a ‘yes’ or ‘no’ because it wouldn’t make sense.
Open questions are useful to find out about a problem, for example: ‘What
seems to be the problem?’ ‘Why’ questions are technically open questions
but as an auditor you need to be careful how you use these as they can
sometimes sound judgmental.
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Closed questions
Closed questions usually lead to a specific answer and often narrow down
communications. They usually begin with:

Is … ?

Are … ?

Have … ?

Has … ?

Do … ?

Did … ?

Does … ?

Can … ?
Closed questions require either a ‘yes’ or ‘no’ answer or a short factual
comment. Closed questions don’t encourage employees to talk further. They
are useful, however, if you want a specific answer (‘Has this machine been
cleaned before start up today?’). They are best used to clarify what you’ve
received or to seek confirmation of the idea that you have.
Reflective questioning
Suppose you’ve asked an employee for information about a particular
process. You want to be able to use the staff member’s explanation but you
didn’t clearly understand the answer you were given. If feedback isn’t clear
to you, you can use reflective questioning. This is the technique of repeating
the sentence with a few changes (paraphrase), but phrased as a question.
You will have heard the way some people ask a question, with a rising tone
of voice at the end of the sentence. Look at the following example.
Lance:
So you say I should use reflective questions?
Olga:
That’s right. A reflective question copies a sentence like an echo, but
changes the wording to say the same thing your way.
The use of reflective questions
A reflective question allows the staff member to correct and clarify any
misunderstandings you may have about the issue. If you echo back what an
employee has told you, he or she then has a chance to either agree with you
or point out things you missed or misunderstood. This is particularly
important when trying to ascertain the facts when an employee is giving
valuable information pointing to a possible non-conformance.
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Other types of questions
What-if questions
What-if (or hypothetical) questions can be used to explore items on the
audit checklist with an employee. You’ll also be able to bring out any
reservations that you or the staff member may have about a particular item
being checked. An example of this will be:
‘What if you do not have any gloves left in your allocated supply? Can
you access more?’
Sorting and sifting questions
Sometimes an employee might give you a lot of information. This includes
workers who:

do not really know what they want to tell you

are verbose

do not get to the point

talk in a stream-of-consciousness manner (don’t organise their
thoughts in any way).
Some of this might not be relevant to the item you’re checking and you will
need to sift through the information to arrive at the worker’s key issues or
priorities. Here are a couple of examples:
‘Which one of these is a priority for you?’
‘Out of all the things you’ve mentioned, which one are you most
concerned about?’
Clarification questions
Sometimes what the worker is saying may not seem logical or coherent.
Information may seem contradictory. Before you dismiss that information as
useless, ask for clarification. Perhaps the worker had not explained in great
detail because they had assumed that you had the prior knowledge to
understand what they were saying. Here are a couple of examples:
‘Which procedure happens first?’
‘Did the change work well or not so well?’
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Organising questions
These allow someone to structure their information. Without a structure,
the information would just be bits and pieces without any discernable
patterns. With a good structure you’ll be able to:

see trends or themes

see how one bit of information fits in with others

compare and contrast.
Here are some examples of organising questions:
‘Which of these responsibilities is yours?’
‘What are your assistant’s responsibilities?’
‘Now which of these things are you both responsible for?’
Probing questions
Probing questions go deep into the issue or problem. They aim to dig out
insights and uncover underlying causes. Here are some examples:
‘Which of these tasks do you find difficult to perform on time?’
‘Why do you find this difficult?’
‘What are these tasks (give details of each)?’
‘How long does it take you to perform each task?’
Putting it all together
To get valuable information from employees in the walk through of the
workplace, you need to:

make yourself physically and emotionally available

use a variety of questions to harness the most relevant information

receive information with minimum distortion (mistakes)

accurately interpret information received

reflect back to the talker your understanding of what is being said

explore issues further by using appropriate active listening skills, such
as paraphrasing, reflecting, summarising and asking relevant and
appropriate questions.
Before questioning any staff member it is a good idea to politely introduce
yourself and explain who you are and why you are on the factory floor.
Where appropriate, when questioning employees ask about times when
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things may not run smoothly. Draw on your own general knowledge of
hygiene problems you may have encountered or can see could be
encountered in the area you are assessing.
Some examples of how to begin to question employees to gather
information during a walk through about items such as at the receipt dock,
preparation stages and packing area could be:

‘Excuse me my name is XXXX. I am conducting a food safety audit
of your premises on behalf of XXXX.’ (eg city council, customer)
‘May I ask you a few questions about what you are doing at this
point in the process?’

‘Can you explain what problems you encounter that would require
you to stop the line…?’

‘Can you show me how you take the product temperature on
arrival?’ or ‘Can you show me the technique you have just
explained?’

‘How often do you take the water temperature in the sanitiser bath?’

‘What would you do if XXXX happened on the line?’ (For instance,
you notice slimy lettuce leaves entering the wash step.)

‘How do you check if your line was cleaned before start up?’

‘In the case where X occurs, tell me what you do.’

‘What do you do if there is no sanitiser in stock or you run out of
sanitiser?’

‘If you accidentally drop your knife on the floor, what would you
do?’
Cultural differences
Often in the food industry the auditor encounters employees from culturally
and linguistically diverse (CALD) backgrounds. It may be necessary to have
an interpreter present when asking questions of such personnel. When
planning the audit you should be mindful of this possibility and, if required,
mention the possibility for the need for an interpreter so that appropriate
arrangements can be made before the day. In some cases, there may be
another staff member in the work place who may be able to assist.
As an auditor, recognising cultural differences may involve having the
confidence to discuss these openly with others, particularly where your
ability to reach your goal can be impeded by the values and attitudes of
other members of the audit team. These can include issues relating to
cultural interaction where factors such as understatement or exaggeration,
complaints, silence and even voice qualities—such as raising your voice—
might lead to misunderstanding.
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While you do not need to completely understand other cultures, you do need
to use a number of skills to cater for these differences. This can be done by:

stepping back and seeing the situation from an outsider’s point of view.
This involves considering behaviours and expectations other than your
own

monitoring the situation and analysing what’s going on

considering your choice of language. Some idioms or slang language
may not be understood by other cultures

the ‘rules’ relating to non-verbal communication are generally
understood within a certain culture but vary from culture to culture and
from generation to generation. These rules are particularly relevant in
the areas of touching and the use of personal space. Take the time to
understand these for the different cultures you may be working with

if employees do not share English as their first language, make sure you
give adequate time in communication and obtain feedback to clarify
understanding.
Conducting the walk through
The main aim of the food safety auditor conducting a walk through of the
premises is to determine if the procedures that are outlined in the food safety
plan are actually being followed by employees.
In addition to the previous process of examining workplace documents, the
auditor should examine records out on the production floor to assess
whether they are completed accurately, and that employees are aware of
their responsibilities. During the visit, employees should be questioned to
determine how well they understand these factors.
When conducting a walk through, apply all your knowledge of what you
know about food safety, stay focused and keep an open mind. Your
approach to management and employees is crucial. Be confident and aware.
It is easy to be led away from possible problem areas that management may
not wish you to see or to have the wool pulled over your eyes. Do not
approach an audit with any preconceived ideas or a negative slant. An
auditor’s attitude should be one of wanting to assist the proprietor, manager
and food handler and wanting to show them where deficiencies relating to
food safety may lie within the business. Be prepared to acknowledge and
praise good manufacturing practice and to point out where techniques or
processes are incorrect rather than criticise individuals or personalise
observed problems.
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The importance of taking notes
If there are any areas of non-compliance, the auditor will note these in order
to issue a Corrective action request (CAR) at the closing meeting. Make
sure you take sufficient and detailed notes to refer to later when writing up
your audit report. For instance, if you observed that several temperature
records were missing during your inspection of a cooking line then note the
document number or heading of the check sheet, note that the 9 am and 11
am records (for instance) were not recorded as per the food safety plan
requirements of recording the temperature on that line every two hours.
These notes are important when justifying any action you may require the
business to take in rectifying problems found in the audit.
Corrective action requests (CARs) are the method an auditor uses to require
the business to commit to correcting the non-conformance within an agreed
timeframe. The nature of the corrective action to be taken and the length of
time required to achieve rectification will depend on the severity of the nonconformance and its direct effect on food safety. The auditor should clearly
and concisely articulate the reasons for raising the non-conformance with
management in order to seek agreement on the issue. However, ultimately
this decision to raise the CAR and the timeframes for rectification is the
responsibility of the food safety auditor, as the auditor is best qualified to
assess the non-conformance.
A follow up on the CAR(s) raised in a food safety audit will often need to be
carried out through a second audit to verify that appropriate corrective
action has been taken and that this corrective action has been effective in
preventing a recurrence of the issue(s). CAR(s) need to be signed off by
management and the auditor in order to close out the corrective actions and
to complete verification for the food safety plan. In some cases, a new CAR
may be raised by the auditor in place of an existing CAR to address tail end
actions that may still need to be completed. In these cases, the initial CAR is
often downgraded from ‘major’ or ‘critical’ to ‘minor’, therefore giving the
business more time to address a food safety issue.
Approaches to a walk through
Start
Use your generic audit checklist to help guide you through, however,
remember that each workplace has its own issues and features that an
auditor needs to consider during the planning process. In addition, when
reviewing documents before the inspection of the premises, there may have
been some issues that raised queries or concerns that require follow up on
the factory floor. Ensure that you have enough time to thoroughly
investigate these audit trails.
Some pointers to consider when conducting a walk through:
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
Plan to start at a particular point and proceed in a set direction. If
practical, follow the process flow from receipt of raw materials through
to finished product, storage and transport. This helps with understanding
the business set up and continuity.

In some premises, it is often better to walk from clean areas through to
dirty areas (ie the process is followed in reverse). This prevents crosscontamination between sections of the plant, and makes it more efficient
if separate uniform or employee segregation requirements need to be
observed when moving from contaminated processing areas to noncontaminated processing areas. This situation often arises in meat
processing plants where product is cooked. Separate employees and
uniform requirements exist to stop contamination from product,
equipment and personnel handling raw and cooked foods.

Most food processing establishments have certain standard processes
that are common to all businesses. From the task ‘Review workplace
documents’ you, as the auditor, will have developed a list of key food
safety requirements that have been derived from the HACCP plan. A
walk through of the business provides the opportunity for these aspects
of the procedures to be reviewed when the functional area relating to
that section of the food safety plan is visited.

Standard areas that the auditor should visit during a walk through of a
food premises are:
– goods receipt dock—are incoming goods temperatures checked
according to the HACCP plan?
– chilled and dry storage areas
– packaging storage areas
– chemical storage areas
– waste disposal area
– tub wash and equipment wash areas
– production lines, equipment and processes
– packing lines, equipment and processes
– finished goods storage areas
– dispatch area
– company laboratory
– amenities/change room areas.
What to look for during an audit
In general, during an inspection of the premises, look for those conditions
that favour the growth of micro-organisms and the harbourage of vermin.
Memorise your audit checklist and try to follow a set routine. Although
most premises have different layouts, developing an overall routine will
help prevent you missing important points in the process.
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To make an overall judgment on hygiene and cleanliness of areas,
equipment and personnel means that you need to review the whole process.
Reviewing workplace practices is a multifaceted approach. Specific
observations are required in all food processing and storage areas that relate
to personal hygiene requirements, equipment cleanliness, good
manufacturing practice and good hygiene practice.
All food processing functional areas need to be checked with respect to
these requirements before a judgment can be made about how well the
business complies in this respect.
Premises design, structure and equipment
The design and construction of food premises is another important factor in
the prevention of food contamination. A logical and safe work flow will be
easier to attain if the design of the food handling and storage areas is
considered to be a priority.

Are there separate areas for preparation and storage of raw and cooked
food?

Are there adequate facilities for personal hygiene?

Is there an adequate supply of hot and cold water?

Is there adequate refrigeration, and are cooking and display equipment
appropriately sited?

Is there adequate lighting, ventilation and cooking exhaust facilities?

Does the structure provide for the exclusion of pests?

Are the surfaces and equipment easy to maintain and keep clean?
During the walk through, take notes of observations and explanations of the
process as you are being told information from the tour guide and from
answers given through questions asked of employees.
Develop and follow audit trails
There will also be specific observations and questions that relate to
individual areas and work practices being reviewed.
Observe the actual work practices and check whether any potential for
cross-contamination exists. Actual activities need to be observed, process
flows need to be observed and specific observations need to be followed
through to confirm elements of the food safety documentation are being put
into practice.
For instance, if you observe dirty packaging ready to be loaded into the
packaging machine, audit protocols would suggest that further investigation
of say, the main storage area for packaging would need to be carried out.
Also, the way packaging is moved and handled may need to be investigated
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in order to see whether the observation was a ‘one off’ event, or whether the
system itself means packaging can easily become contaminated.
Review work practices for any potential for cross-contamination. Consider
how the design of the premises, equipment and/or workflow could affect
product safety. For example:

between dirty and clean products

between equipment and product

between personnel and product

between dirty equipment and clean equipment

employee traffic between segregated areas

packaging.
The overall cleanliness of work areas needs to be assessed during a walk
through. Use olfactory senses to assist in detecting unsanitary/unclean areas
and surfaces. Are areas and equipment visibly clean, clean to touch? Are
there any unpleasant odours? Are there any broken, chipped, cracked
surfaces that can harbour food scraps, pests and bacteria?
For a list of important points to remember when inspecting premises
see ‘Resources’ in this learning kit.
Other areas that must be checked
Suppliers and contractors—stock purchasing and goods receipt
Encompassing every procedure in the food operation, the food safety
program generally goes beyond the business itself to include suppliers.
From the list of preferred raw materials, suppliers and packaging operations
to all types of maintenance contractors, a sound reputation and commitment
to quality are vital to ensuring safe, quality food.
Suppliers must be able to prove that their product meets all the legal
requirements, including labelling guidelines, packaging, and itemised
additives/preservatives as well as being the correct grade for its use (ie food
grade—this is particularly important for cleaning chemicals and packaging
materials). Maintenance, cleaning and pest control contractors must also be
made aware of the requirements of the food safety program.
‘Raw materials specification sheets’ are used to ensure that only approved
suppliers are used to provide ingredients and services.
Consider the existing procedure for receiving stock at the organisation’s
loading bay. Is the area suitable for the receipt of food products? Are there
adequate refrigeration and storage areas? Are suppliers’ delivery vehicles
inspected for cleanliness and temperature control (if required)?
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Raw materials should be inspected on arrival to ensure they are undamaged,
are at the correct temperature and meet all other purchase specifications. If
not, they should be rejected and a request for corrective action submitted to
the supplier.
Other support program information that may be
reviewed during a walk through
16

Documentation and record keeping requirements relating to the
HACCP plan need to be reviewed to ensure operators are actually
measuring critical limits at the required frequency, acting on nonconformances, filling out cleaning records, etc. During review of
workplace documents, the food safety auditor should have reviewed
samples of records from the factory floor. Use the walk through to
review the sheets that are being filled out on the day.

Check that work instructions are controlled documents and are up to
date (ie, the latest version). Are they easily accessible? Do
employees know where or how to access such instructions?

Pest control on the factory floor needs to be assessed. Check the
location of bait stations—are they in line with the bait map? Are
electronic fly killers located correctly?

Check storage and labelling of incoming goods and work in progress
foodstuffs. Are they protected from contamination and identified,
under temperature control, no signs of condensation indicating they
have been exposed to high temperatures?

In chemical storage areas are the chemicals used (sanitisers, etc) the
same as the MSDSs that were reviewed earlier and fit for purpose?
You should read the labels to check this. Are there any additional
chemicals not mentioned in the document review? Check that they
are not prohibited chemicals like engine oil etc, insecticides (cans of
fly spray, etc).

Is there an appropriate supply of hair nets and beard snoods in
defined repositories around the plant in case a worker loses one or
forgets to put one on?

Maintenance—facilities and equipment maintenance programs are
required as a component of a food safety program. As a support
program, a maintenance schedule will ensure that all aspects of the
premises and equipment are inspected and repaired on a regular
basis. Preventative maintenance may also be incorporated into this
schedule. It is the responsibility of the manager to ensure that the
schedule is drafted and carried out. Are there makeshift repairs
indicating maintenance issues are not properly addressed? These can
pose contamination risks and make cleaning tasks difficult.
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Sample maintenance log sheet
A maintenance log sheet assists the company to monitor the maintenance
required and track corrective actions.
Item
Date
Checked by
Condition/corrective
action
Ventilation –
grease filters
12/10/98
RS
Dirty – clean and
instruct Lesley
Structure - walls
25/10/98
RT
5 tiles cracked above
dishwasher - replace
Date of authorisation:
Proprietor’s signature:
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Table 1: Sample maintenance log sheet
Control of non-conforming product and corrective and
preventative action

In each section, ask personnel what they do when something goes
wrong. Is the answer in line with the requirements of corrective and
preventative action, as outlined in the food safety plan?

Are there means of isolating affected product?

Is isolated affected product clearly identified? (ie with a ‘Hold’ sticker
or in a quarantine area)?

Do instructions outline the means of tracing back problems through
certain production time periods to further isolate stock (eg between
checks on the metal detector? (That is, all stock in the last four hours
from when the last correct check of metal detector showed the machine
was working, is to be placed on hold if the new metal detector check
indicates a problem.)
Communicating in the workplace
As an auditor, much of what you achieve on the walk through of the
premises depends on your attitude to both the guide (usually the food safety
supervisor) and the relevant employees on the factory floor.
To ensure you tap into the information that is going to be of most value to
the audit findings, you need to approach each person with an attitude that
puts people at ease and creates trust. This will encourage workers to
willingly provide the insights that will prove most relevant to the audit
checklist.
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We’ve already looked at questioning techniques. Some other tips for getting
the information you’re after include:

Be interested in what people are telling you. Use language and body
language that is open and puts people at ease.

Act naïve (not in technical ability) but in the sense that you do not
work there day to day and so you do not know exactly how a specific
wall, or floor section or machine is cleaned or run, for instance.

Try to quickly establish trust by having empathy for the people you
are interviewing. They often have other pressures on them that do
not always involve food safety (such as production targets) which
means they may have to maintain supply continuity to other lines or
sections of the factory. For example, if there are two spin dryers for
lettuce on the washing line and one spin dryer is out of commission
(mechanical problem for instance) there will be a lot of pressure on
the lettuce dryer leading hand to keep the packing conveyor stocked
with product. It is in these types of situations where shortcuts are
taken.

Do not presume anything—look for evidence to back up what you
have learned about the business from your research and the review
of workplace documents.
Key principles of active listening
We’ve looked at effective questioning as an important strategy in reviewing
food safety practices. Effective questioning presupposes effective listening
as the other strategy that determines the success of the walk through.
As an auditor you may sometimes come away from a conversation with an
employee thinking that they didn’t really say much of value. Perhaps you
were guilty of not listening actively! One of the key principles of active
listening is allowing the other person to talk freely. However, be aware of
spending too much time discussing what is not relevant to the task at hand.
Below are more principles of active listening that aim to encourage the other
person.
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Principle
Description
Do more listening than talking
Give the other person time to talk. Show that you are
interested in what they have to say.
Show encouragement
Use non-verbal as well as verbal cues to show you are
listening, for example, maintain eye contact, nod,
sit/stand upright and say ‘yes’ or ‘I see’ at appropriate
places, and use a positive tone of voice.
Avoid appearing tense
For example, avoid having arms and legs tightly
crossed and speaking in a hurried and impatient or
Food Safety Auditing Toolbox
Review workplace practices – content guide
agitated tone of voice.
Do not agree or disagree
You do not have to agree or disagree—simply wait
until the person has finished explaining and then move
on.
Show empathy
Imagine yourself in the other person’s position.
Respond to their feelings without taking sides.
Be ‘other-directed’
In other words, don’t project your feelings or ideas on
them.
Be accepting of the other person
This means being non-judgmental and nondiscriminatory.
Be non-defensive
Instead, admit any errors or oversights on the part of
yourself or your organisation and apologise for that.
Paraphrase (summarise) what
the speaker is saying
In other words, restate key facts, issues, perceptions
and interpretations. When you receive information it’s
important to check that you’ve understood it correctly.
Be aware of the other person’s
sensitivities
If you need to ask questions of a sensitive nature, ask
them in a gentle, polite and supportive manner and
tone of voice. Assure confidentiality. Wait for the right
time to ask as well—that is, when the other person is
relaxed and you have gained their confidence.
Reflect every now and again on
what the other person is saying
For example, you might say: ‘So you were unhappy
with that procedure because you felt that it wasn’t
safe?’ This shows the other person that you understand
how they feel and that their concerns and feelings are
valid.
Show warmth and support
Smile, where appropriate. Look concerned. Avoid
being cold or abrupt.
Admit it when you’re lost
Avoid pretending to understand. Simply say something
such as: ‘Sorry, could you just say that again?’ Clarify
anything you don’t understand. This lets the other
person know that you have been listening and that you
understand what they’re saying.
You’ll need to wait for an appropriate situation to arise to practise your
active listening, but such situations arise more frequently than you’d think.
Reflect on these principles and make a genuine attempt to practise them—it
may not be easy at first.
An alternative to this might be to carry out a role play, but you’ll need to
find a partner—say a colleague, family member or friend. Set up a particular
situation in which your partner can play the role of a food process worker
explaining a process they carry out daily. You can then practise active
listening techniques in handling the situation. You may also be able to do
this via a telephone or chat facility.
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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.
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Food Safety Auditing Toolbox
Review workplace practices – content guide