In simple terms, a food safety audit is an evaluation conducted to obtain information on whether an organization’s food safety management system, is operating as expected, conforms to applicable standards (e.g. ISO 22000) and is effectively implemented and maintained.

A food safety audit can be conducted by internal resources (i.e., a first party audit) or it can be outsourced to a qualified external party (i.e., a third party audit). In some cases, a food business may also choose to combine these two approaches by leveraging both internal and external resources.

For most food businesses, particularly those considering engaging an external auditor/assessor for the first time, the audit process might seem intimidating. Considering this, below we have provided you with a glimpse into what you can generally expect during a food safety audit.

Pre-Audit preparation

Prior to an audit, particularly an external audit, it is expected that you will conduct an internal assessment of your operations to identify any potential areas of improvement.

Having this insight going into an audit, and sharing it with your auditor, is valuable as it allows owners/operators to demonstrate both transparency and proactiveness. It can also provide your establishment with an opportunity to begin considering any necessary remediation activities.

In advance of an audit, you should also take the opportunity to collate and review documentation including, but not limited to, the food safety plan, standard operating procedures (SOPs), training records, and inspection reports.

This document review shares benefits with the internal assessment. It also can facilitate an efficient audit as the typical audit process requires the auditor to request and review this documentation.

Opening Meeting

The opening meeting is an important part of any food safety audit and often sets the tone of your entire audit. A typical opening meeting agenda will include but is by no means limited to the following items:

• Overview of Audit Objectives: You can expect the lead auditor to provide an overview of the audit objectives and scope. This includes explaining the purpose of the audit, the areas to be assessed, and the expected duration of the audit process.
• Review of Audit Process: Here the auditors will provide a detailed outline of the audit process, including the methods and procedures to be used in conducting the audit. This should include information on how the audit will be structured, the types of assessments that will be performed, and the criteria against which compliance will be evaluated.
• Clarification of Roles and Responsibilities: The opening meeting allows for the roles and responsibilities of both the auditors and the food business to be clarified. The expectations for cooperation, communication channels, and any specific requirements or protocols to be followed during the audit are discussed.
• Confirmation of Schedule and Logistics: This item is particularly important for you if the audit could potentially disrupt operations. You should expect your auditor to address any logistical details, such as the timing of onsite inspections, availability of key personnel, access to facilities, and scheduling of meetings.

On-Site Inspection

An on-site inspection is often one of the first activities your external auditor will perform.

The inspection involves the assessment of various areas and aspects of your facility, including food storage areas, food preparation surfaces, equipment (e.g. refrigeration), cleanliness, maintenance, employee practices, and sanitation procedures.

Inspections may also assess pest control measures, waste management practices, the condition of packaging materials and retail storefronts.

Your auditor may utilize a checklist or standard audit procedure to guide the inspection. The benefit here is for thoroughness and consistency. However, as they become known, trained auditors may raise additional matters that require attention.

For on-site inspections, it is always helpful you designate a point of contact who can support the execution of the inspection. This person should not only be knowledgeable about the facility’s operations but should have unfettered access to all areas and be able to answer questions and provide other assistance as needed.

Interviews and Observations

Interacting with key personnel is one of the main ways in which a food safety auditor gains information on an establishment’s food safety practices and procedures. Auditors may prioritize interviews with key personnel such as business management, food safety managers, production staff and purchasing staff. However, line staff with food or quality related responsibility are also engaged for their feedback to be included.

Depending on the particular scope of your audit, the real-time observation of food handling practices may also be performed. Auditors will attempt to evaluate compliance with established protocols, such as handwashing, glove use, temperature monitoring, and allergen control.

Documentation Review

In this phase of an audit, the focus is on documentation which relates to food safety practices and procedures. This may include food safety plans, HACCP records, temperature logs, cleaning schedules, and training records.

Auditor’s will generally assess the completeness, accuracy, and effectiveness of these documents in ensuring food safety and regulatory compliance.

As mentioned in the section on pre-audit preparation, a food business that has performed their own internal review can find efficiencies in this phase. This is particularly so if all relevant and required documentation is organized, up-to-date and easily accessible.

Quite often, auditor’s will cross reference the findings from inspections, interviews and observations with the associated documentation. As an example, where an SOP requires a particular cooking surface to be used for a particular protein, an auditor may seek to determine if staff adhere to this requirement in interviews and via observation.

Sampling and Testing

In some cases, and dependent on the scope of the audit, samples of food and water may be collected. Environmental swabs may also be taken.

These samples and swabs can be used for microbiological or chemical testing to assess compliance with food safety standards. One of the ultimate goals with this testing is to ensure that your products are safe for consumption.

In advance of an audit which requires sampling and testing, you should be aware of the potential sampling points within your facility. These may include:

• Raw materials
• Finished products
• Water sources
• Food contact surfaces

Given the specialized nature of these tests and regulatory requirements, samples and swabs may not always be conducted on-site and may have to be sent to accredited laboratories for analysis.

Closing Meetings

Once the audit procedures described above are complete, you can expect your auditors to hold a closing meeting with key personnel. The goal here is to discuss any finding, observations and recommendations.

These closing meetings are a good opportunity for you to gain feedback on not only areas needing improvement, but also areas of strength. The meeting will typically also give you a preview of what can be expected in the audit report as it related to corrective actions required to address any non-compliance issues identified during the audit.

Audit Report

Receiving the detailed report which summarizes the findings, observations and recommendations is typically the final phase of an audit engagement.

Your report will ordinarily include a summary of audit findings, compliance status, areas for improvement, corrective actions required, and any follow-up actions needed.

For completeness, it should also include details on the scope, methodology and any scope exclusions. These particular sections are particularly important as they provide useful context as to what the audit was expected to cover and what it actually did.

Conclusion

Ultimately, it is important that food business recognize that the execution of a food safety audit should not be done simply when required by regulation. It should be considered a vital tool for ensuring the integrity of operations and protecting both customers and their brand reputation.

Understandably, there may be some hesitation or reservations by those unfamiliar with the audit process. However, by familiarizing yourself with the general nature of audits and actively preparing, you can position yourself for success.

It’s important to remember that an audit is in the best interest of your food business and can serve as the catalyst for ongoing improvement.

Take the next step

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As a leading food safety and quality consultancy, we possess a wealth of experience and are experts in food safety standards, regulations, and best practices.

Take action today! Schedule a consultation with one of our experts. Together, let’s elevate your food safety standards and build consumer trust one step at a time.