Home > Basics of Food Safety Certification and Audit Preparation

The purpose of any food safety audit is to verify good manufacturing practices (GMP) toward the assurance of public safety. Specific standards have been developed by government authorities and industry to elucidate the rules and requirements to achieve this goal. Auditing provides a transparent process to demonstrate compliance with these safety-first standards and helps drive collaboration among stakeholders across the supply chain and within individual organizations.

Audits and Certifications:

Audits may be conducted first party as an internal self-assessment, second party as in a proprietary supplier audit, or third party as conducted by an independent certification body. Although each has its value in the GMP environment, this document will focus on preparation for an independent third-party standards-based audit toward achieving or renewing facility certification.

Third-party food safety certification is classified into:

• Basic Food Safety (HACCP) Certification
• Global Food Safety Initiative (GFSI) Accredited Food Safety Certification Schemes such as BRCGS, FSSC 22000 etc.
• Regional Regulatory Certification

HACCP Certification:

HACCP (Hazard Analysis Critical Control Point) is a food safety management system based on the Codex Alimentarius General Principals of Food Hygiene. It addresses the analysis and control of biological, chemical and physical hazards from raw material production, procurement and handling, to manufacturing, distribution and finished product consumption. HACCP is internationally recognized and is designed to prevent, eliminate or reduce hazards to an acceptable level. Certification can only be achieved through an audit by a HACCP-certified third-party entity such as NSF International. HACCP certification is a legal requirement in several countries, including the United States, the United Kingdom, the European Union (for imported foods), Australia/New Zealand, Japan, China (for imported meat products) and Mexico (for imported meat products).

GFSI Accredited Safety Scheme Certification:

With the complexities of increased globalization, the international Global Food Safety Initiative (GFSI) was formed in 2000 to help harmonize food safety standards worldwide. Because GFSI-recognized auditing bodies are benchmarked against well-recognized food safety and quality criteria, GFSI certification allows for consolidation of auditing efforts, thereby reducing the expense and time investment required with multiple audits.

Regional Regulatory Requirements:

In addition to HACCP and globally recognized food safety schemes, regulatory requirements vary by region.

Food Safety Audit Process:

Typically, a comprehensive food safety audit follows a 5-step process:

Here, we will focus on the steps of audit execution (Step 2 above) with a detailed discussion of facility-based, pre-audit preparation.

Phase 1. Desk Audit

The initial phase of a food safety audit is referred to as a desk audit. This stage focuses on document review. From an auditor’s perspective, proper documentation is the only acceptable evidence that required food safety
procedures have been followed. Documents reviewed during the desk audit include:

• Standard Operating Procedures/Sanitation Standard Operating Procedures
• Work Instructions
• Food Safety Policies
• Food Safety Forms and Templates
• Records
• Other Food Safety Related Documents

Phase 2. Initial Food Safety Audit

Following the correction and documentation of any non-compliance identified in the desk audit, the initial food safety audit focuses on evaluating evidence of program efficacy. This phase includes evaluation of the following
processes:

• Food Safety Hazard Risk Assessment
• Process Control Implementation
• Employee Training
• Record Keeping Practices
• Preventative and Corrective Action Implementation

1. Planning
2. Execution
3. Corrective and Preventative Action
4. Verification
5. Evaluation

Food Safety Audit Preparation:

The primary goal of audit preparation is an essential understanding of the specific certification scheme requirements and thorough, well-documented compliance with them.

• Obtain a copy of the most recent certification scheme requirements to ensure auditor expectations and requirements are very clear
• Conduct a detailed internal audit to ensure compliance with the certification scheme.
• Ensure adequate staff training and senior management awareness to demonstrate internal knowledge and commitment to food safety processes
• Utilize the tools, support and expertise of your HACCP partners to demonstrate verification accuracy, data integrity and transparency.

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