Main points covered: • Overview of the pre-certification process • Understanding your CB • Application process • Selection of auditor(s) • After the audit: recommendations Presenter: This webinar was presented by PECB Certified Trainer and Managing Director for Quality Systems Solutions & Initiatives (QSSI), Ms. Sheryl Anderson. Link of the recorded webinar published on YouTube:

1. Preparation for Food Safety Audit

2. Sheryl Anderson
Managing Director
Quality Systems Solutions & Initiatives (QSSI) provides consultancy, training, documentation and auditing
services in international standards primarily ISO 9001, ISO 22000 and HACCP. QSSI also provides
business support services such as strategic planning, development of risk management plans and feasibility
studies.
.
876-881-6489
qssi@qssiglobal.net
www.qssiglobal.net
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3. Journey towards certification

4. Implementation
Global Food Safety Initiative (GFSI) standards
• Safe Quality Foods (SQF)
• British Retail Consortium (BRC)
• Food Safety System Certification (FSSC 22000)
Other standards
• Hazard Analysis Critical Control Points
(HACCP)
• Good Manufacturing Practices (GMP)

5. Certification Process

6. Why do you want to be certified.
Reasons for certification
Improve my processes
Increase my efficiency
Required by my customers
Brand Recognition
Better way to do business
Competitive Strategy
Certificate on the wall

7. Certification Quadrants
Quadrant 1 Quadrant 2
Quadrant 3 Quadrant 4

8. What will the CB check?
Application and Contracting Stage
Your document review begins here!

9. • Ask for the Auditor’s credentials
• Biodata/CV
• You may request another auditor :
▫ Perceived conflict of interest
▫ Previous experience with the auditor
▫ Poor Customer Service
Tip # 1

10. Document Review Stage
Auditor’s preparation for the audit

11. • The Audit plan is flexible
• It may be changed to allow for seamless operation
• Availability of the required personnel
• Emergency situations
Communication is key. You do not want to appear uncooperative!
Tip #2

12.  Assessment of food safety documentation
 Meeting the requirements of the standard
 Risk management plan
 Master document index
Management's commitment to the process
 Communication of the policy
 Demonstrated commitment of the senior management team
 Depth of the Management Review and decisions taken
Stage 1 Audit

13. Establishment of the Internal Audit System
Approach to Auditing
Competence of the auditors
Corrective Action System
Senior Management’s commitment to determining root cause
Closure rate of NCs
Stage 1 Audit

14. Tip # 3
• Reduce anxiety by preparing employees for the audit and
explain what to expect
• Ensure that all employees interact with the external
auditors in the correct way
• All pre-identified weaknesses in the system must be
effectively corrected.
• Train employees to give the right answers and avoid
common pitfalls

15. • You are being audited from the time the auditors arrives,
to when the auditor leaves….and then some!
• Casual conversation
• Having lunch or coffee break
Tip # 4

16. • Auditor’s first interaction with the organization
• Getting to know you (first date jitters)
• Stage 1 audit gives a good indication of the success of stage 2 (Some
CBs conduct a desk audit for the stage 1)
• Stage 2 timeline at the discretion of the auditor (Onsite)
▫ Good indication of the system
▫ Address areas of concern expeditiously
Tip #5

17. Interviewing staff and aligning to what
management “believes” is implemented
In depth auditing, focus on system
Review of records (match the records list to the
records references in the procedures)
Stage 2 Audit

18. Stage 2 - Involvement of people
 Comparison between what managements says vs what employees do
 Connecting the strategic with operational
 Polices and procedures are understood
 Employees are trained
 One system, one business
 Interviews with, and observation of process owners.

19. • Perfection raises suspicion
• Have major documentation prepared or accessible (in
their meeting room)
• Documents must be easily retrievable
• No wait times for personnel
Tip #6

20.  Implications of Major Non-Conformance
Follow Up Audit
Implement the corrective Actions
Implications for Minor Non-Conformance
Conduct proper root cause analysis
Submit corrective action
Affects certification timeline
Corrective Actions

21. • Prepare CAPs early
• Form Root Cause Analysis Teams
• Be Clear and Concise
• If CAPs are rejected, ask for justification. Clarify if
needed.
Tip #6

22.  The recommendation of the auditor is always
considered
Turnaround time of a month
Done by an independent committee
Certificate issued (but owned by the CB)
Certification Decision

23. • External audits rarely turn out to be as daunting as first
feared.
• The auditor is looking for a system which meets your
organisation's needs.
• Good attitude towards the audit
• Improvement culture and good knowledge of the
management system within your personnel are going to
impress and influence the auditor most of all.
Tip #7

24. • Get everyone excited and involved
• Give updates to your personnel, relieve tension
• Be prepared for the non-Conformances
• External Audits rarely rewrites a non-conformance
found in a recent audit unless considered critical
• External Auditors are independent, so take their findings
seriously
Tip #7

25. • Close out all NCs
• Ensure the team remains motivated
• Team Approach to corrective actions implementation
Recommendations

26. QUESTIONS
876-881-6489
qssi@qssiglobal.net
www.qssiglobal.net
linkedin.com/sherylanderson
twitter.com/qssi
fb.com/quality systems solutions & initiatives
THANK YOU