• Audits

• Principles of auditing
• Auditors
• Managing an audit program
• Conducting an audit
• For a more detailed introduction to food safety
auditing, download the whitepaper
Food Safety Auditing – Principles and Practice from
www.safefood360.com/whitepapers/
The systematic, independent and documented process
for obtaining audit evidence, and evaluating it objectively
to determine the extent to which the audit criteria are
fulfilled.
• To be an effective and reliable tool in support of food
safety management policies and controls.
• Providing information on which the food business can
act to improve its performance.
A set of
• Policies
• Procedures or
• Requirements

In the context of food

safety what are the audit
criteria?
By Law
• European
• National

Often expressed in
• Industry Standard, codes of practice and schemes e.g.
• I.S. 340 series
• BRC Global Standard for Food Safety.
• Records
• Statements of fact
• Other Information (Visual
inspection)

They are relevant to the audit

criteria and verifiable, they
can be qualitative or
quantitative.
Food safety evidence could
include:
• Interview • Product
• Visual • Personnel
observation/inspection
• Premises/plant
• Records of legal
compliance • Pest control

• Process
Auditee
• The business or organisation being audited
Auditor
• A person with the competence to conduct an audit
Audit findings
• The results of the evaluation of the collected audit evidence
against the audit criteria
Audit conclusion
• The overall outcome of an audit provided by the auditor or team
after consideration of the audit objectives and all audit findings
Audit scope
• The extent and boundaries of the audit
• Location
• Units
• Processes
• Time period
Audit agenda
• The time-table for the actual audit
• Adherence to the following principles is a prerequisite
for providing auditing conclusions that are relevant and
sufficient and
• For enabling auditors working independently from one
another to reach similar conclusions in similar
circumstances
The foundation of professionalism
• Trust
• Integrity
• Confidentiality
• Discretion
• An audit essentially establishes a relationship with a business in an effort to improve.

• In any such relationship it begins with an exchange of basic data generated through
simple observations and examination.

• To turn such data into true information trust, built on mutual respect, is necessary.

• It is only when the parties are no longer working in fear that they can work together
to achieve both business improvement and audit objectives.

HUMAN PROCESS
In auditing a large abattoir you note one in five knife
sterilisers operating at 81.6oC where the regulations
stipulate 82oC minimum.
• What would you do?
This is the obligation to report findings accurately and truthfully

This relates to findings of fact – observed – heard

• ‘Thermometer no. 189 is out of calibration – due 22.12.2009’

Inferences from such facts should be agreed with Auditee

• ‘The Auditee has no calibration programme as required by Standard I.S. 343’

Truthful statement of any differences or obstacles encountered

• ‘A number of key senior staff unavailable’
• The sound application of diligence and judgement
• Auditors must exercise skill and care in accordance
with the importance of the audit and the confidence
placed in them by the client or other interested parties.
• Knowledge • Regulation
• Training • Experience
• Science • Sectors
• The fundamental basis for impartiality and objectivity.
• No bias.
• No conflict of interest.
• Auditors at all times during the audit must maintain an
objective state of mind to ensure the validity of all audit
evidence.
• The rational method for reaching valid, reliable and
reproducible conclusions
• Audit evidence should be verifiable but audit taking
place in a finite time frame with finite resources are
necessarily sample based
• Confidence is related to the degree of sampling
1. Knowledge of regulations and 2. Knowledge of safety
rules management systems (HACCP)
• Ethical • Perceptive
• Open-minded • Versatile
• Diplomatic • Tenacious
• Observant • Decisive
• Self-reliant
Sufficient to acquire the knowledge of
1. Regulations and
2. Food safety management systems
• Sufficient to develop the skills (in exercise of
judgement, problem-solving and communication) to
apply their knowledge of food safety management
• Managerial or professional positions for X years
• Completed a ‘recognised’ course in food safety auditing
• Should be gained under the direction and guidance of a
competent auditor
• 3-5 ‘supervised’ audits under experienced ‘lead auditor’
• Essentially traditional inspection and applicable for
PRP’s
• Premises (Adequacy/maintenance/clearing)
• Plant/equipment
• People (Facilities/practices-hygiene)
• Pests
 I have six honest serving men
they serve me well and true
their names are
WHY?

WHAT?

WHERE?

WHEN?

HOW?

WHO?
• Open vs. closed questions
• Do you check temperatures? ”

• Apply six honest men to the same question

• ‘How do you check temperatures?’
• ’When do you check temperatures?’
• Etc.
As far as possible do not
• Orient yourself away from the Auditee
• Take lengthy notes
• Fidget
• Lose eye contact
• Look at the clock
• Interrupt whilst Auditee is explaining
But do
• Look receptive
• Make encouraging sounds/gestures
• Check understanding
• Summarise clearly
Recording is crucial – the objective evidence:
• The bait point number
• The calibration date and the identify of the thermometer
• The staff record (name – details)
• The product and time of despatch/receipt

Where possible:
• Agree at the time the evidence with the Auditee
Organizational
• Objectives and extent
• Responsibilities
• Resources
• Procedures
• To contribute to the improvement of the management
system
• To obtain and maintain confidence in the capability of
a supplier
• To verify conformance with regulatory requirements
and or a certification body
• To evaluate system after an incident (external or
internal)
Some factors to consider
• Scope and duration of each audit
• Standards and regulatory requirements
• Changes in requirements
• Nature, size and complexity of business
• Frequency of audits
• The frequency and scheduling of an audit program should
be based on risk
• Risk assessment should be conducted
• Company: Activities where a failure will result in a food safety issue e.g. CCP’s etc.
• Supplier Base: High risk ingredient suppliers, primary packaging etc.

• History of issues may also influence the risk assessment

• RISK: Need to define risk in context of auditing program
e.g. criteria may be useful
Schedule audits according to risk
• HIGH 1 year to 3 years
• MEDIUM 2 years to 3 years
• LOW 3 plus years
Ideally managed by individuals who have:
• Management skills
• An understanding of audit principles
• Technical knowledge
• Business understanding
May include for example
• Development of clear audit procedures
• Mechanisms to achieve and maintain requisite pool of
competent auditors
• Travelling, accommodation and other needs
• Necessary finance
Some important elements of audit procedures
• Assuring competence
• Planning and preparing for audits
• Conducting audits
• Maintaining records
• Appointing and assigning Auditor(s)
• Defining scope and Requirements
• Contacting Auditee
• Prior to on-site audit the Auditee’s documentation may
sometimes be reviewed to determine the adequacy of
conformance with the defined standard
This implies
• That the defined standard requires the total system to
be documented
What do we need to bring?
• Authorisation?
• Protective clothing?
• Audit programme?
• Copy of legislation/ standard?
• Checklists?
• Blank report forms?
• Protocol?
Consider why it may by necessary to bring a copy of
standards with you
• Reference – authoritative
• Dispute – clarification
• Should business have a current copy?
Aide-memoire - not to be slavishly followed!
• Prepared by turning each requirement into a question
• Working document facilitating note-taking
• Facilitated best if standard written objectively
• Regulatory instruments may not cover essential prescription
• Reliance then placed on related sectorial codes e.g. I.S. 340 series
• No firm rules on how to develop checklists
• Results may be recorded as simply YES or NO etc.
• May also indicate examples of specific checks to be
conducted
• May also record evidence or notes
Note about non-conformances
• During the audit, when completing a checklist, seek:
• Corroboration of Auditee or guide for all possible non-conformance incidents
• Note precise details
• Audit evidence is evaluated against audit criteria to
generate Audit Findings
• Audit findings may indicate
• CONFORMITY or
• NON-CONFORMITY

Consider in the light of possible different Audit Objectives the

desirability, or otherwise, of reporting audit conformances
• The overall outcome of an audit provided by
auditor/team after consideration of audit objectives and
all audit findings
• Essentially a two-stage process, carried out in private
prior to Closing Meeting
• A quiet location where unlikely to be disturbed
• Facility to contact key person to resolve issues arising
• Agree the location at Opening Meeting
• Auditor(s) review checklist findings and all appropriate
information against Standard
• Consider any conclusions taking into account the
totality of information and conscious of the uncertainty
inherent in auditing
• Complete Summary Audit Report tentatively
classifying any non-conformances
The function of the summary report includes
• Providing structure to the Closing Meeting
• Allowing for the best and fair participation of Auditee
• Creating necessary ownership of Correction
• Facilitating ready completion of the Final Audit Report
• Depending on Audit procedures
• Conformances and Non-conformances may be
reported
• Schedule in advance
• Chaired by Auditor
• Includes Auditee representatives and proprietor or
person in charge
AGENDA
• Thank participants
• List positives
• Agree any non-conformances and class
• Agree corrective actions and time-scales
• Formally endorse Summary Report
• Indication of Audit Completion
Assignment will vary depending on Standard and type of Audit
• E.g. Minor, Major, Critical
• Allow Auditee to rebut with additional evidence
• The principle of Fair Presentation requires that the Auditor provide the
Auditee to be given every opportunity to defend their operation

This emphasizes the importance of

• Collecting objective and verifiable evidence during the audit and,
• Being fully conversant with the requirements of the Standard
• Who is responsible for corrective actions
• Time scales for completion should be agreed
• May be defined in the standard
• Assess feasibility of actions proposed / agreed
• To agree all findings
• To endorse by signature
• Summary Audit Report for record

• To involve Auditee in defining Corrective Actions

• To create ownership
• Where specified by Audit Objectives
• Recommendation regarding Certification /
Registration may be made at the end of the Closing
Meeting together with any other related requirements
e.g. Future audits.
• In some instances the Summary Audit Report, may suffice
• A copy in any event is normally left with the Auditee
• However it is more usual to issue later (within a specified time) a
formal Confidential Audit Report for record
• This Report may contain or refer to any Recommendation or
Sanction contingent on the Audit Conclusions
• Report may contain:
• Audit Details
• Summary Audit Report details
• Findings / Recommendations
• The Audit is complete with the issuing and filing of the
Confidential Final Report
• Two final considerations
• Confidentiality
• Follow-ups
• For a more detailed introduction to food safety
auditing, download the whitepaper
Food Safety Auditing – Principles and Practice from
www.safefood360.com/whitepapers/
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