Food Safety Audits in the New Regulatory Landscape

A food safety audit focuses on gathering information about a food business to identify any areas of
potential improvement in the business’s food safety processes and systems. It also identifies areas of
the business that have deficiencies and the appropriate action to correct any deficiencies.
The audit system comprises three inter-related elements these three elements are:

1. an approval criteria and assessment process for food safety auditors;

2. an audit methodology/process that allows for variations in the size and complexity of food
   businesses; and

3. a management system to respond to audit findings and monitor the efficacy of audits and approved
   food safety auditors.
   The audit system provides an infrastructure within which State and Territory Health Departments can implement a food safety program. It is imperative that certain aspects of the audit system are carried out consistently between jurisdictions. Other aspects of the system are more flexible and
   implementation procedures and policies will need to be developed by States and Territories. It is
   anticipated that these policies and procedures will depend on existing operational structures and
   availability of resources. The role of State and Territory Governments in maintaining the integrity of the audit system has been highlighted in this paper where appropriate.
   4.1 First-, second- and third-party auditors
   There is scope within the audit system for auditors to be either second-party or third-party to the food business. Second-party auditors are auditors employed by the government and third-party auditors are private and independent of the government. All auditors must meet the approval criteria and be approved by a State or Territory Health Department.
   First-party audits involve internal auditing of the food business by the business itself. Internal audits can be useful for the business to assess whether or not it is meeting regulatory requirements. However, there will be no requirements for first-party audits and the outcomes of the audit will not be recognised by the enforcement agency.
   4.2 Responsibility for food safety and liability
   Requiring food businesses to implement preventive food safety programs shares the responsibility for food safety between food businesses and government. The auditor’s role is to carry out audits of food safety programs and to assess the compliance of businesses with food safety program requirements and the requirements of the Food Safety Standards, and then to report the outcomes of the audits and assessments to the enforcement agency. It is then the responsibility of the enforcement agency to implement appropriate enforcement measures when a food business’s food safety program is not effective in producing safe food.

Audit requirements

The Act requires that:

• a food safety audit be conducted at declared interval(s) to determine whether a food safety program

  • has been complied with during the period covered by the audit

  • is still adequate at the date of the audit

• the business is complying with the Code.

• the business has completed all required records.

• the business has addressed non-conformances identified previously

• the audit of a food safety program must be conducted by a department-approved food safety auditor certified as competent to conduct an audit of such a premises.

An audit involves a food safety auditor checking that a business is complying with:

• its food safety program

• the Act

• the applicable Code standards.

Proprietors of food premises must:

• engage a department-approved auditor

• ensure that copies of their food safety program and records are available on the premises at all times.

• make available all relevant documentation that supports the food safety program for the auditor to view.

Following the audit, providing the business is fully complying, the auditor must provide an audit certificate to the council within 14 days of giving the certificate to the business. That certificate must be either:

• a certificate of compliance; or

• a certificate detailing that corrective actions have been taken to address deficiencies or any outstanding matters if an audit has revealed non-compliance at the premises.

Approved auditors carry identification to confirm that they have the required qualifications and approval.

The proprietor of the premises must provide the council with a copy of any report prepared by the auditor, if requested by the council.

Food safety audits