Food Safety Auditing

FOOD SAFETY AUDITS
Martin Bucknavage
Food Safety Specialist
Food Safety Extension
Food Service – ServSafe, HACCP
Retail – SuperSafeMark
Consumer – Cooking for Crowds
Manufacturing – Workshops and Seminars
– Food Defense
FOOD SAFETY AUDIT
An audit that examines the systems in place
that ensure the safety of the food product
that is produced.
An Audit – How Does It Relate?
As an Auditee
Manage the audit process
Manage an area that is being audited
Consult with a company that needs assistance
setting up systems
As an Auditor
Internal audit
Audit a new or existing supplier
3rd party auditor
FOOD SAFETY AUDIT
Introduction to the Food Safety Audit
Elements in a Food Safety Audit
The Food Safety Audit Process

FOOD SAFETY AUDIT

Audit
A planned, independent, and documented
assessment to determine whether agreed-upon
requirements are being met.
Methodical
Objective
Recorded
Positive and constructive
(Inspection is the process of measuring, examining, and

testing to gauge one or more characteristics or a product
or process. Acceptance or rejection)
Ref: ASQ Auditing Handbook 2005
Standards
Standards - Documents that contain the
norms against which an activity is
measured.

Audit - Purpose
Provide input for management decisions

Keep management informed on actual or
potential risks
Identify areas of opportunities for improvement
Assess effectiveness and capability or people,
equipment, processes, and systems
Ensure ongoing compliance and conformity to
standards and regulations.

Types of Audit
Classifications based upon who is conducting the
audit:
First Party – Internal
Second Party – Supplier or Customer
Third Party - Independent of the process
Types of Audit – Food
Processing
Common types of audits based upon what audit is investigating:
Product Audit – evaluates product itself
Food Safety Audit – focuses upon the facility’s systems for
maintaining the safety of the food produced
HACCP Audit – focuses on HACCP
Quality Systems Audit – focuses on entire system for maintaining
quality, and will often encompass food safety systems
Distribution System Audit – evaluates systems for handling
product after the plant.
Supplier Audit – Can incorporate food safety, quality, and
production capability of the supplier
OSHA / Safety Audit – People safety
FOOD SAFETY AUDIT
Focuses on the ability of a company to produce

safe food.
Will use an approved audit with its given
standards (internal/customer or external) as the
measure.
Will ascertain how and if the company meets the
set of standards in the audit.
Identify gaps within the food safety system.
Set a program for corrective action / continuous
improvement.
Food Safety Audit
Internal – Should be completed monthly

2nd Party – Most common for customers to conduct
informal FS audits and then require a formal 3rd
Party audit.
3rd Party Audits – will use a standard audit format
or will use a format that is established by the
customer.
Food Safety Audit – 3rd Party
Audit Standard by Industry Association
GMA-Safe by GMA/FPA (previously NPFA-Safe and FPA-Safe)
SQF by FMI
Auditing Companies with audit that is often accepted, and can use
customer or association audit
AIB – American Institute of Baking
NSF (Cook and Thurber)
Silliker
Auditing Companies with audit sometimes accepted, often use

customer or association standard
- ABC Research - FSS - RQA -NAFSA
- CNS - PMI - Steritech
- EHA - Primus - Randolph Assoc
3rd party food safety audit is most common for
formal audit.
The customer (the client) will most often choose
the standard or give a list of standards.
It is common for a food manufacturer to have a
number of audit groups perform audits.
The goal of the manufacturer to reduce the
number of audits, choosing ones with the least
downside…..what would those be?
While there are benefits, from the standpoint of the
manufacturer being audited, audits can be
viewed as:
Disruptive
Invasive (revealing financial or technological
information)
Costly
Confusing when different standards required
Often biased (not totally objective) by auditors
lack of understanding or by prior experience
Redundant when a company is subjected to a
number of different audits.
FOOD SAFETY AUDIT

(Using GMA-Safe audit as a template)

Food Safety Audit - Management
Section 1.1 of GMA-Safe
- Quality Policy
- Quality Manual
- Organizational Chart with designated person for
quality / food safety
- Quality System Reviews
Food Safety Audit -
Fundamentals
Section 2.1 of GMA-Safe -
Infrastructure
- Facilities are adequate
- Exterior grounds
- Controlled environment
- Food Contact Surfaces
- Water systems and backflow
- Employee sanitary facilities
Food Safety Audit -
Fundamentals
Section 2.2 of GMA-Safe -
Sanitation
- MCS and SSOP’s,
Verification
Section 2.3 – Pest Control

- PCO
Section 2.4 – Chemical Control

- MSDS Sheets, Containment
Section 2.5 – Personnel

Practices
- Employee hygiene
Food Safety Audit -
Fundamentals
Section 2.6 – Training
- Conducted and documented
Section 2.7 - Handling, Storage,

and Delivery
- Inspection of load and
carrier, proper storage
Section 2.8 – Vendor Approval

- Vendor approval process,
performance evaluation, and
contingency
Food Safety Audit -
Fundamentals
Section 2.9 – Packaging
- Specified
Section 2.10 – Control of Materials

- Incoming materials verified, rework
Section 2.11 – Sanitary Design
Section 2.12 – Traceability and Recall

- Coding and tracking system, mock
recall
Section 2.13 – Crisis Management

Food Safety Audit -
Fundamentals
Section 2.14 – Food Defense
- Plan in place and
communicated
Section 2.15 – Calibration

- Calibration schedule,
procedures, and
documentation
Section 2.16 – Traffic Control
Section 2.17 – Maintenance

- Preventive maintenance,
maintenance safety
procedures
Food Safety Audit – HACCP and
Food Safety
Section 3.1 – HACCP
- HACCP plans, team, verification,
training
Section 3.2 – Microbiological Testing

- Methodologies, schedule, and results
Section 3.3 – Analytical Testing
Section 3.4 – Food Allergens

- Tracking, segregation, and labeling
Section 3.5 – Foreign Material Control

Food Safety Audit –
Manufacturing Quality Systems
Section 4.0
Food safety related items:
Process Control
Finished Product Inspection
Control of Non-conforming Material
GLP’s
Corrective Action Procedures
Customer Complaints
Food Safety Audit – Regulatory
Considerations
Section 5.0
Labeling
Regulatory Inspection
FOOD SAFETY AUDIT

Audit Process
Planning the audit
– Selection of Audit (Type, scope, and purpose)
– Scheduled or Unscheduled
– Persons involved notified / scheduled
Opening Meeting
– Introductions
– Plan for audit
– Logistics (Documents, Facility Access, Escort)
Audit Process
Performing of the Audit – Data Collection
– Document Review
– Physical Observation and Examination
– Interviewing
– Follow-ups (trending, non-conformances)
Exit Meeting
– Findings
– Corrective Action
Audit Report
FOOD SAFETY AUDIT

Closing Remarks
Audits provide a valuable function in assuring that
standards are being met
Auditor depth of knowledge and professionalism will
provide for a stronger audit
Audits are always changing
Audits should be constructive and positive, and should
contribute to the continuous improvement of the system
Audits are a key for driving the industry forward.
THANK YOU

Food Safety Auditing

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FOOD SAFETY AUDITS

Introduction to the Food Safety Audit

Elements in a Food Safety Audit

The Food Safety Audit Process

Introduction to the Food Safety Audit

Elements in a Food Safety Audit

The Food Safety Audit Process

(Inspection is the process of measuring, examining, and

Ref: ASQ Auditing Handbook 2005

Provide input for management decisions

Ref: ASQ Auditing Handbook 2005

Focuses on the ability of a company to produce

Internal – Should be completed monthly

Auditing Companies with audit sometimes accepted, often use

Introduction to the Food Safety Audit

Elements in a Food Safety Audit

The Food Safety Audit Process

Section 2.3 – Pest Control

Section 2.4 – Chemical Control

Section 2.5 – Personnel

Section 2.7 - Handling, Storage,

Section 2.8 – Vendor Approval

Section 2.10 – Control of Materials

Section 2.11 – Sanitary Design

Section 2.12 – Traceability and Recall

Section 2.13 – Crisis Management

Section 2.15 – Calibration

Section 2.16 – Traffic Control

Section 2.17 – Maintenance

Section 3.2 – Microbiological Testing

Section 3.3 – Analytical Testing

Section 3.4 – Food Allergens

Section 3.5 – Foreign Material Control

Introduction to the Food Safety Audit

Elements in a Food Safety Audit

The Food Safety Audit Process

Introduction to the Food Safety Audit

Elements in a Food Safety Audit

The Food Safety Audit Process

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