Preparing for Unannounced Audits

Sep 7, 2021

by Justin Derington, Director of Auditing Services, FSNS C&A

In February 2020, the Global Food Safety Initiative (GFSI) released its updated GFSI Benchmarking Requirements, version 2020. These Benchmarking Requirements outline the criteria all certification program owners (CPOs) must meet to be included under the GFSI umbrella. The publications of these updated requirements impact BRC, SQF, FSSC, IFS, and all other GFSI standards. The new benchmarking standard includes two important updates. First, GFSI mandates that all GFSI recognized schemes include food safety culture requirements. Second, GFSI requires that unannounced audits be mandatory, at a minimum, once every three years. 

BRC, SQF, and FSSC recently issued updates to their respective standards to include mandatory unannounced audits once every three years. While each of these standards varies in the unannounced audit requirements, there are a few that are consistent. First, each site scheduled for an unannounced audit is permitted to submit “blackout” dates. These dates are those dates where a site is not planning on being operational. Please note that blackout dates are not days when an audit would be inconvenient or more difficult. Second, each standard defines a timeframe during which the audit must take place. These timeframes vary widely by standard. Feel free to reach out to FSNS C&A for more information. Lastly, each standard requires the auditor to visit the production area within 30 minutes of arrival on site. 

Since an audit can take place at any time, make a plan beforehand. First, communication amongst the management team is critical. Since the audit may take place at any time, it’s important that management understands—and are in agreement on—what to do when the auditor arrives onsite. Prepare for contingencies before the audit. What happens if the QA Manager is out sick? Where are the audit materials stored? It’s imperative to have more than one person who can work with the auditor and participate in a successful audit. Second, communicate with staff. Make sure staff understands that an audit may take place at any time and that it takes the entire team to show the site in the best light. Lastly, get organized. Collect and organize policies, procedures and other supporting information in a place the is easily accessible, organized, and understood by those who will be participating. 

When the auditor shows up at the site, relax and implement the plan. Communicate with the management team that the audit is taking place and allocate appropriate resources for a successful audit.

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