IQSI Website

Error in site JavaScript

Audit Pitfalls and Recommendations


  • Run your own food safety system & learn to validate, audit, defend it!
  • Accurate information presented to audit companies equals more audit value

Documentation Requirements

  • Staff cannot access/unaware of required documentation
  • Documents inadequately controlled, e.g. no approval, outdated/obsolete documents, inconsistent versions
  • Relevant documents of external Origin not identified, e.g. food regulations, customer specification, standards etc.
  • Distribution of external documents not controlled
  • Improper data correction -obliterated/erased data or liquid paper

Management Responsibility/Resource Management

  • Commitment statement does not mention conformity to legal, regulatory & customer food safety requirements.
  • Review documentation does not detail inputs/outputs; objectives not measurable or not tracked
  • Communication procedures not in place/not effective; personnel to communicate with external parties not defined
  • Food safety issues/changes not communicated to food safety team promptly
  • Emergency preparedness/business continuity plans not in place or not tested annually
  • Staff/back up personnel training/evaluation not documented
  • No review of competence for outsourced activities

Processing/Product Realization

  • PRPs not in accordance with PAS 220 or not well documented
  • Supplier review for hazard controls not documented
  • Food safety team/meetings not documented
  • Insufficient information on raw material characteristics to conduct hazard analysis
  • Product descriptions/end product characteristics incomplete
  • Process flow diagrams/plant schematics not accurate or missing steps like water treatment, waste & rework
  • Food Safety hazards reasonably expected to occur not identified
  • Control measures for hazards identified not adequately defined
  • Hazard assessment/prioritization not adequate
  • CCPs not logically determined or not capable of being monitored
  • Information required for OPRPs (FSSC 22000) or HACCP plans not adequately defined e.g. inaccurate critical limit, incomplete monitoring procedure, correction and corrective action not clearly defined
  • Incomplete corrective action documentation or no segregation/identification/safe disposition of affected product
  • Missing informationl1ests for traceability from raw materials through in process/finished product to next level of distribution

Validation, Calibration, Verification, Continual Improvement

  • HACCP/OPRP plans not validated or not properly documented
  • Key measuring equipment not calibrated at least annually
  • Internal audit not carried out at least annually or all standard requirements were not covered
  • Internal auditors not consistent or not trained
  • Corrective action not performed in response to internal audit non-conformities or not verified to be effective
  • Results not analyzed to confirm overall effectiveness of FSMS & identified opportunities for improvement/updating