Your first Food Safety Audit Guide

Choosing a Third-Party Food Safety Audit Certification Scheme

When it comes to third-party audit food safety certifications, there is an abundance of options that meet the customer and regulatory requirements. The third-party audit requirements originated from

• The need to have trusted food suppliers
• To prevent food companies from having numerous client visits to verify the on-site food safety program

There are a few options when it comes to third-party food safety certification:

• Basic food safety or Hazard Analysis and Critical Control Point (HACCP) based certification
• Supplier’s program assessment (based on customer requirements)
• Global Food Safety Initiative (GFSI) accredited certifications such as SQF, BRC, FSSC 22000 etc

It is important to note that there are a few factors that can influence how you would choose the type of third-party certification for your company:

1. Customer expectation
2. Status of the food safety program
3. Ability to comply with the certification expectation
4. Meeting local regulatory requirements

Customer expectation

Larger food retailers may have minimum requirements for their food supplier’s food safety programs. Food companies may need to meet certain customer expectations, including third-party certification and audit addendum, to continue to be listed on the approved supplier list. For example, to meet Costco’s expectations, a food manufacturer must go through a minimum food safety audit and a COSTCO addendum.

Ability to Comply with the Chosen Food Safety Audit program

Despite most food safety schemes meeting GFSI’s requirements, not all food safety programs are created equally. It is important to understand the requirements of the chosen food safety audit scheme when selecting a certification scheme.

Meeting regulatory requirements

Regulatory requirements are important considerations for food import and export activities. If you are exporting or manufacturing food products for the consumer in the United States, it is important to note that the food safety scheme considers the requirements of the Food Safety Modernization Act (FSMA) and the Foreign Supplier’s Verification Program (FSVP).

Preparing for Initial Desk Audit (Food Safety Audit)

The first stage of an audit is called a desk audit. A desk audit is a document review session. It is typically an unscored audit meant to identify the food safety program deficiency and to provide an opportunity for program improvements.

In a desk audit, the following are typically reviewed:

• Standard Operating Procedures, Work Instruction, Sanitation Standard Operating Procedures, HACCP plan, etc
• Food Safety relevant policy
• Forms and Template
• Record (if available) -typically, requires a minimum of 3 months’ record
• Other supportive documents

It does not encompass observations and interviews with employees.

To prepare for the desk audit, you’ll need to

1. Obtain a copy of the certification scheme requirements
2. Develop, document and implement the scheme requirements. This includes developing programs and procedures, monitoring, verification and validation activities and record keeping.
3. The documented program and procedures must match the implemented process.
4. Important process control and critical control points shall be backed up with validated data through scientific reference or in-house study.

All non-conformances raised during the desk audit shall be closed before the initial audit.

Kindly note that if you are working with SQF programs, the newer SQF certification can be done without a desk audit. Regardless, a full SQF program assessment, e.g. using an internal audit, is highly recommended to ensure that there are no huge gaps between the standard requirements and implemented procedures.

Preparing for an Initial Food Safety Audit

Upon correction for the non-conformances during a desk audit, the next stage (initial food safety audit) can be arranged.

The initial food safety audit focus on the evidence of the effectiveness of the food safety program, including:

• Food safety hazard risk assessment and implementation of process control
• Employee training program
• Implementation of corrective action and preventative actions when a deviation occurs
• Record-keeping practices

This stage mainly focuses on the effectiveness and implementation status of the documented procedures. These may include observations, employee interviews and record reviews.

It is important to note that all deviations noted during this audit stage are considered audit deviations and must be corrected before issuing the food safety certificate.

Food Safety Audit Preparation Tips

1. Know the food safety program requirements -You do not need to remember the entire program, just where to find the documented procedures and relevant documents.
2. Keep a register of food safety programs, forms etc. -this would help you refer to relevant program documentation.
3. Sometimes, we just don’t have all the information. It is ok to say “I will get back to you with the right information”.
4. You can actually get help from your food safety team. Food audit doesn’t need to be lonely -you can get help from the relevant personnel if you need help with their roles and responsibilities.
5. Ensure the production plant (interior and exterior) meet food safety requirements are met for cleanliness, conditions and pest control.

Still nervous about your food safety audit? Get Help from a Trusted Food Safety Consultant

Food safety consultants can help release the stress of facing the audit alone -we can guide you to third-party audit compliance.

Our founder, Felicia Loo is a Certified Food Consultant in multiple food categories. She specializes in building a food safety program from scratch and rebuilding food safety programs. Get in touch to book an introductory consulting session to see how we can help you towards your third-party certification goals.