Introduction
Preparing for a food or feed safety audit should be an ongoing process rather than an activity that begins shortly before the auditor arrives. An effective management system should demonstrate that food or feed safety controls are implemented, monitored and maintained as part of normal operations.
Whether preparing for a regulatory, certification, customer or internal audit, organizations can improve audit readiness by reviewing several key areas.
1. HACCP and Food or Feed Safety Plans
Review the HACCP or food/feed safety plan to confirm that it accurately reflects current operations. Process flow diagrams, hazard analyses, control measures, critical limits and monitoring procedures should remain consistent with actual activities at the facility.
Changes to equipment, ingredients, processes, products or regulatory requirements should be evaluated to determine whether the food or feed safety plan requires updating.
2. Prerequisite Programs and GMPs
Verify that prerequisite programs and Good Manufacturing Practices are effectively implemented. Areas commonly reviewed during audits include sanitation, pest control, preventive maintenance, personnel practices, receiving and storage, contamination prevention, chemical control and facility conditions.
Documentation should demonstrate that required activities are being performed at the established frequency.
3. Training and Employee Competency
Training records should demonstrate that employees have received appropriate training for their responsibilities. Employees should also understand the procedures and controls they are expected to follow.
Auditors may verify competency not only through training records but also through interviews and observations during the facility inspection.
4. Traceability and Recall
Organizations should be able to trace ingredients and finished products effectively and demonstrate that their recall system is functional.
Mock recall exercises can help verify traceability, identify weaknesses and confirm that required information can be retrieved within an appropriate timeframe.
5. Supplier Approval and Incoming Materials
Review supplier approval records to confirm that suppliers and incoming materials are managed according to established risk-based requirements.
Specifications, approvals, certificates, questionnaires, testing requirements and other supporting documentation should be current where applicable.
6. Preventive Maintenance and Calibration
Equipment that can affect food or feed safety should be appropriately maintained. Preventive maintenance records should demonstrate that scheduled activities have been completed and that identified issues have been addressed.
Measuring and monitoring devices should also be calibrated or verified at established frequencies.
7. Internal Audits and Corrective Actions
Internal audits are an important tool for evaluating whether the management system is functioning as intended. Findings should be documented, investigated and addressed through appropriate corrective actions.
Organizations should also verify that corrective actions are effective and that recurring problems are appropriately investigated.
8. Records and Document Control
Before an audit, verify that required procedures, forms and records are current, available and properly controlled.
Records should provide objective evidence that established procedures and monitoring activities are actually being followed.
Building Continuous Audit Readiness
The most effective approach to audit preparation is to maintain the system continuously rather than trying to correct documentation immediately before an audit.
Regular verification, internal audits, management review and timely corrective actions help organizations maintain compliance and identify weaknesses before they become significant issues.
QFS Consulting Inc. supports food and feed businesses with food safety and quality management systems, audit readiness, training and regulatory compliance. Contact us to discuss your organization’s specific requirements.