ELEMENT

PERFORMANCE CRITERIA

1. Define the scope of the audit

1.1. Audit scope is identified and defines the extent of the audit to meet legislative and audit client requirements

1.2. Audit criteria meet legislative and client requirements

1.3. The definition and levels of non-conformity and related reporting responsibilities are identified consistent with legislative requirements and client requirements

1.4. Evidence required to address audit scope and criteria is identified and appropriate collection methods are selected

1.5. Food safety management system documents are reviewed to determine adequacy for the purposes of the audit

2. Plan the audit

2.1. An audit plan is developed that includes definitions and levels of non-conformity to meet the audit scope

2.2. Activities and responsibilities for the audit are identified

2.3. Audit timing (as required by legislation and/or client) is identified, including timetable for each stage of the audit

2.4. Resource, personnel and reporting requirements are identified

2.5. Follow up and completion procedures are identified

2.6. Communication protocols are established to facilitate the effective exchange of information and suited to the auditee environment

3. Conduct the audit

3.1. Information on the audit scope and methodology is communicated in an effective and timely manner

3.2. Stages and activities of the audit process are followed

3.3. Methods used by the food business to carry out preliminary work, identify food safety hazards and assess level of risk are reviewed to confirm that they are appropriate and correctly applied

3.4. Evidence used by the food business to support identification of control measures and establish control limits is identified and evaluated to determine adequacy and relevance

3.5. Methods used by the food business to control hazards and determine corrective action where processes are identified as not meeting targets or critical limits are reviewed to confirm they are adequate, effective and appropriate

3.6. Evidence is collected to confirm that the documented food safety policies and procedures are working effectively, reflect actual practice and are consistently applied

4. Manage the audit process

4.1. Audit progress is monitored against the audit plan and any variation to plan is identified and addressed

4.2. Circumstances requiring the audit plan to be adjusted are identified and negotiated in a timely manner

4.3. Audits address audit scope and are conducted within time and resource constraints to meet quality and professional standards

4.4. The audit process is reviewed to identify opportunities for improvement

5. Consolidate audit outcomes

5.1. Evidence is analysed and assessed to identify any areas of non-compliance with legislation and/or client requirements as appropriate to the audit scope

5.2. Non-conformities are identified and classified as agreed by the audit plan

5.3. Non-conformities are reported in accordance with agreed client and/or legislative requirements

5.4. Audit findings are communicated to the auditee

5.5. Audit reports and/or certificates are prepared and submitted or presented as required to meet regulatory and client requirements

5.6. Corrective actions proposed by the auditee in response to non-conformances are reviewed for compliance with the template or food safety program

5.7. Audit findings are reviewed to confirm that evidence is appropriate and sufficient and findings are accurate

5.8. The food safety management system is reviewed to identify areas of potential improvement of the system according to audit scope

6. Confirm and close out corrective actions

6.1. Implementation and effectiveness of corrective actions are monitored and verified and any variation to the food safety plan is identified and addressed

6.2. Audit records are maintained to record corrective actions