Food safety audits: what to expect when pursuing certification
Food safety audits are a fundamental step in receiving certification from an international food safety organization such as BRC or IFS. Here is what food manufacturing companies pursuing certification for the first time need to know about the auditing process.
Third-party
food safety certification is increasingly becoming a necessity for food
manufacturers looking to do business on an international scale. Because food
law and the rigor with which it is enforced can vary from region to region,
international food safety certifiers use audits to determine whether a
company’s food safety system is appropriate and effective. If the food safety
system is found to be ineffective, audits are the baseline for determining
which steps the company must take in order to achieve compliance and receive
certification.
What does a food safety
audit involve?
One of the
first and most critical steps to becoming certified with an international food
safety regulator is to undergo an on-site audit. In a process generally lasting
a minimum of two working days, a food safety auditor representing the
certification program travels to the food manufacturing facility and performs
an in-person assessment of potential hazards and critical control points. This
involves inspecting both the production line itself as well as performing an
audit of documentation relevant to food safety.
Based on
this initial visit, the auditor will then draft a list of requirements that the
food manufacturer must fulfill in order to obtain certification, as well as
recommendations for how to proceed. Some common steps which food manufacturers
must take in order to become certified with international food safety
regulators include:
Executing
food safety training workshops for employees
Hiring
a dedicated Food Safety Systems Manager
Replacing
or repairing any equipment unfit for food contact applications
Installing
automated temperature monitoring devices
Implementing
and providing documentation of an approved sterilization protocol
System
updates to any quality control software
Providing
documentation proving the safety of any food contact materials
Implementing
a comprehensive record-keeping and documentation protocol
Establishing
an effective internal audit system
After the
food manufacturer has implemented the necessary changes to their food safety
management system, the auditing firm may perform a series of follow-up visits.
Once compliance has been confirmed, the food manufacturer receives their certification.
How long does it take to
obtain an international food safety certification?
The Global
Food Safety Initiative estimates that the approval process for their internationally
recognized food safety certification programs takes an average of six to nine months from the initial audit to the day
certification is granted. IFS also provides a handy online calculator that can help food manufacturers estimate the
minimum duration of their initial audit for IFS Food Certification 6.1.
How much does
international food safety certification cost?
The upfront
costs involved in obtaining food safety certification from a third-party
auditing firm vary depending on the size of the manufacturing facilities and
the scope of the production process. For the initial on-site audit, food
manufacturers should expect to spend between $5,000 and $10,000 USD, not
including additional travel costs.
After the
initial audit is through, food manufacturers are tasked with financing the
changes necessary to achieve compliance. This includes both one-time costs,
such as purchasing and installing more in-process inspection devices, as well
as on-going costs, such as hiring an in-house Food Safety Systems Manager. The
total out-of-pocket spending involved depends heavily on the preparedness of
the facilities prior to pursuing certification.
Following
approval to receive food safety certification, food manufacturers must also pay
on-going inspection and re-certification fees on an annual basis.
Overview of the on-site
auditing process
Once a food
safety auditor begins an on-site visit, there are five different phases they
must carry out before they leave:
Allocating roles and notifying
participants – Upon
arrival, the auditor identifies the parties responsible for supervising their
visit and providing access to the information, plant areas, documents, and any people
necessary to the audit. Additional observers from the food manufacturing
company may also be present for the audit. These roles should be allocated in
such a way that they do not influence the audit, and all parties should be
expressly notified of their role.
Opening discussion – The auditor briefly informs all
involved parties about the goal of their visit, the methods they will be using
to audit the facility, and any preconditions for a successful audit.
Gathering information – The auditor collects information
about compliance and food safety culture at this facility through various
methods including: on-site observation, randomized tests, process simulations,
interviews with employees, and reviewing documents.
Evaluating information – The auditor compares the
information gathered with the food safety criteria laid out in the
certification program to evaluate whether the facility conforms with these
requirements. They then draft their findings and determine which, if any, steps
must be taken to achieve compliance.
Closing discussion – The auditor presents a summary of
their findings to the responsible parties. They also provide the food
manufacturer with an opportunity to ask questions as well as recommendations
for how to proceed.
After the
on-site audit, a more detailed audit report will follow. This report contains a
complete overview of the scope of the audit, what was observed, which food
safety criteria were met, which were unmet, as well as areas for improvement.
Internal food audits
In addition
to on-site audits by representatives from the certifying organization,
international food safety certification programs often also require that food
manufacturing facilities have an internal auditing program in place. Here is a
brief overview of the internal audit requirements from two leading
international certifying organizations, International Featured Standards (IFS)
and the British Retail Consortium Global Standards (BRC).
IFS V7: Internal audit
requirements
An
effective internal auditing system is a knock-out requirement in IFS Version 7, meaning compliance is necessary to
receive certification. The scope and frequency of internal audits should be
based on risk assessment (5.1.1), and each department is to be audited by a
competent person who is independent of that department (5.1.3).
The results
of internal audits, including any corrective actions, shall be communicated to
senior management as well as parties responsible for the audited activities.
All corrective actions are to be verified (5.1.4).
Areas to be
audited include production and storage premises, external areas, in-process
controls, ongoing hygiene protocols, and foreign material hazards (5.2.1). Additionally, the
company’s HACCP plan shall be verified at least once
yearly, in part through internal audits (2.2.3.8.5)
BRC 8: Internal audit
requirements
BRC Version
8 requires a scheduled internal audit program with a minimum of four yearly
audits that cover all activities at least once annually. The precise frequency
of audits for each activity is to be based on a risk assessment, and the scope
of the audits must include prerequisite programs such as pest control, food
fraud prevention programs, and any procedures implemented in order to achieve
compliance with BRC (3.4.1). Internal audits are also considered to be a means
of confirming the effectiveness of the company’s HACCP plan (2.12.1).
Internal
auditors must be appropriately trained and sufficiently independent from the
department they are auditing (3.4.2). They should document both conformities
and non-conformities, include objective evidence of the findings, and report
the results to the responsible parties (3.4.3).
Additionally,
separate inspections for the areas of hygiene (cleaning, housekeeping) and
equipment performance must be performed and documented at least once per month
(3.4.4).
Conclusions
As the
global food supply chain becomes more complex with each passing year,
international certification programs and the food safety audits they perform
have an important role to play in protecting consumer health and corporate
trust all over the world.
For many food industry companies, obtaining
certification from international food safety auditors is a time- and
resource-intensive pursuit that could involve overhauling many aspects of their
production line. But the short-term costs involved in third-party food safety
certification pale in comparison to the long-term positive returns. The results
of an initial food safety audit provide companies with valuable insight into
their processes and food safety management system as well as concrete feedback
about where they can be improved. Furthermore, once compliance has been
achieved and certification granted, companies can gain access to lucrative
international markets and leading global players in the food industry.
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