ORA FIELD MANAGEMENT DIRECTIVE No. 76
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Appendix B.1
Guidance for Completing the Contract Audit Form (FDA Form 3610)
This document provides guidance on assigning ratings during an audit for each of the performance factors listed on the Contract Audit Form (FDA Form 3610). For each performance factor examples of actions and observations that would likely result in a “needs improvement” rating are provided.
Pre Inspection Assessment
Did the inspector review the state’s establishment file for the previous inspection report and possible complaints or access other available resources in preparation for the inspection?
References:
Examples of a “needs improvement” rating:
Did the inspector have the appropriate equipment and forms to properly conduct the inspection?
References:
Examples of a “needs improvement” rating:
Inspection Observations and Performance
Was FDA jurisdiction established?
References:
Examples of a “needs improvement” rating:
Did the inspector select an appropriate product for the inspection and, if necessary, make appropriate adjustments based on what the firm was producing?
References:
Examples of a “needs improvement” rating:
Did the inspector assess the employee practices critical to the safe production and storage of food?
Examples of a “needs improvement” rating:
Did the inspector properly evaluate the likelihood that conditions, practices, components, and/or labeling could cause the product to be adulterated or misbranded?
References:
Examples of a “needs improvement” rating:
Did the inspector recognize significant violative conditions or practices, if present, and record findings consistent with state procedures?
Examples of a “needs improvement” rating:
Did the inspector demonstrate the ability to distinguish between significant versus insignificant observations and isolated incidents versus trends?
References:
Examples of a “needs improvement” rating:
Did the inspector review and evaluate the appropriate records and procedures for this establishment’s operation and effectively apply the information obtained from this review?
Examples of a “needs improvement” rating:
Did the inspector collect adequate evidence and documentation in accordance with state procedures given the nature of the inspectional findings?
Examples of a “needs improvement” rating:
Did the inspector verify correction of deficiencies identified during the previous state inspection?
Examples of a “needs improvement” rating:
Did the inspector act in a professional manner and demonstrate proper sanitary practices during the inspection?
Examples of a “needs improvement” rating:
Inspection Observation and Performance for ‘HACCP-Required’ Facilities
[Note: These four questions may be left blank if the firm is not required by regulations to have a HACCP plan.]
References:
Examples of a “needs improvement” rating:
Did the inspector assess the firm’s implementation of sanitation monitoring for the applicable eight key areas of sanitation?
Examples of a “needs improvement” rating:
Did the inspector review firm’s HACCP plan (or necessary process controls in the absence of a HACCP plan) and applicable monitoring, verification, and corrective action records, including those related to sanitation?
Examples of a “needs improvement” rating:
Did the inspector recognize deficiencies in the firm’s monitoring and sanitation procedures through in-plant observations?
Examples of a “needs improvement” rating:
Oral and Written Communication
Did the inspector identify himself/herself and make appropriate introductions, which includes explaining the purpose and scope of the inspection?
Examples of a “needs improvement” rating:
Did the inspector use suitable interviewing techniques?
Examples of a “needs improvement” rating:
Did the inspector explain findings clearly and adequately throughout the inspection?
Examples of a “needs improvement” rating:
Did the inspector alert the firm’s appropriate management when an immediate corrective action was necessary?
Examples of a “needs improvement” rating
Did the inspector answer questions and provide information in an appropriate manner?
Examples of a “needs improvement” rating:
Did the inspector write his/her findings accurately, clearly, and concisely on the state form/document left with the firm?
References:
Examples of a “needs improvement” rating:
This page was last updated on: 08/16/06.