A common mistake that many food companies make is assuming that a manufacturing facility can pass a third-party audit because previous inspections from the state department of agriculture have gone well. They look at the list of certification bodies provided by a new customer and start making calls to schedule an audit as soon as possible. Far too often this approach results in extra expenses, poor audit scores, and frustration.
However, with some research and preparation, a third-party audit can be a great learning opportunity. It can drive continuous improvement and increase sales if a business prepares for the experience properly.
When I held a full-time auditing role with a certification body I completed well over 50 audits per year for several years, in plants in all 50 states. Based on my experience, these are the tips I recommend for companies looking for success with third-party audits:
Understand customer and audit requirements.
Customers may require audits against customer specific requirements, a general food safety audit tool, or a Global Food Safety Initiative (GFSI) benchmarked audit. The first step is to clarify exactly which audit your customer requires. Once that is understood, the required certification body should give you a copy of the audit tool upon request or direct you to the proper website.
Read the audit tool and plan changes needed to meet those requirements.
Make special note of any audit criteria which may result in an automatic failure. Schedule enough time before the audit to fully implement changes. Auditors need to see implementation, not just good intentions for future change.
If an audit requirement is unclear, ask the certification body about it before the audit.
Certification bodies cannot consult, but they can explain a requirement. The GaMEP food industry team can also help you understand how the requirement applies to your business. If a facility believes they are exempt from an audit requirement, discuss that with the certification body before the audit occurs. You should not wait for the actual audit to get clarification.
Learn about your auditor and the process for appeals.
The certification body is responsible for ensuring the audit is performed by a competent auditor according to a set of requirements. Ask the certification body for: 1) The appeals process, 2) The name of the auditor assigned, and 3) A brief biography about that auditor.
The appeals process provides a path for companies to ask the certification body to overrule an auditor’s decision. Research and observe your auditor to ensure you are comfortable with that person’s ability to audit your operations. A company can ask a certification body for a new auditor for any reason. (Note: If requesting a new auditor, the audit may need to re-scheduled.)
Ensure that objective evidence is presented.
Auditors evaluate a business against the audit tool using objective evidence. If an auditor goes outside of that scope, politely ask the auditor to show you where those requirements are in the audit tool. This should prompt the auditor to pause and re-focus.
Ask the auditor to share non-conformances as soon as they are identified. If you disagree with a non-conformance, calmly present objective evidence to the auditor. Objective evidence can include documents, records, direct observation, and, in select scenarios, interviews.
If you cannot come to an agreement with the auditor, contact the certification body either the day the audit ends or the next day to start an appeal. The GaMEP food industry team can also help with appeals.
Put your best foot forward on audit day.
In the days leading up to the audit, assign staff to keep the facility and grounds tidy. Promptly correct any problems that arise.
On the day of the audit, be organized. Keep a copy of the audit tool with your notes, and your food safety manual with you during the audit. Know how your business complies with each item, so you can explain your process to the auditor. It is the company’s responsibility to show the auditor how the business complies with the audit criteria.
Following these six tips will put you on the path to success with third-party food safety and quality audits. If you have questions or need assistance along the way, contact the GaMEP food industry team.
