Which documents should you prepare before the auditor arrives?
Two files, which should not be confused: the one the certification body asks for to plan the audit, and the one the auditor will consult on site. The first goes out several weeks before the audit; the second must be ready at any hour.
The planning file. The BRCGS protocol on unannounced audits lists the information a certification body needs to plan without turning up on a day with no production. It is useful for any audit:
- typical shift patterns and production schedules, especially if some processes do not run every day;
- the dates when no audit can take place because there is no production;
- the management organisation chart;
- a simple site plan;
- the process flow diagram;
- a summary of critical control points (CCPs);
- the list of products or product groups in the audit scope;
- the last audit report, if it was carried out by another certification body.
Then ask the certification body for the audit plan: it shows the order of the visit and the people you need to mobilise.
The audit file. On site, the auditor follows the requirements of the standard. File the evidence in chapter order, with one owner per file.
Document | Requirement | Common trap |
|---|---|---|
Genuine copy of the current standard | 1.1.9 | Unofficial copy or previous issue |
Signed policy and food safety and quality culture plan | 1.1.1, 1.1.2 | Plan without measured activities or annual review |
Objectives, results and management review | 1.1.3, 1.1.4 | Objectives never communicated to staff |
HACCP plan and verified flow diagrams | Chapter 2 | Diagram verified at a desk, not on the line |
Internal audit programme and reports | 3.4.1 | Audits bunched into the month before the certification audit |
Supplier approval | 3.5.1.2 | Questionnaire not reissued for more than three years |
Last traceability test | 3.9.3 | Test without primary packaging, or without timing |
Recall procedure test | 3.11.3 | Results without the timings of key activities |
Food defence plan and vulnerability assessment | 4.2.2, 5.4.3 | Plan not reviewed for more than a year |
Training records | 7.1 | Seasonal and agency workers with no record of training |
Action plan from the last audit or mock audit | 1.1.12 | Causes addressed on paper, gap back on the floor |
Do not produce any document the night before. A record filled in with the same pen stroke for three weeks of entries is spotted immediately.
Who must be present, and when?
Senior management at both meetings, department managers throughout the audit, operators at their workstations. Clause 1.1.11 requires it, and clause 1.2.1 requires a clear written record of who deputises for each manager in their absence.
Moment | Who | What the auditor expects |
|---|---|---|
Opening meeting | The most senior production or operations manager, the quality manager, a guide | Confirmation of the scope and running order, constraints of the day |
Inspection of production areas | Shift leaders and operators | Explanation of the checks carried out, observation of product changeovers |
Culture discussion | A member of senior management | The food safety and quality culture plan and its results |
Document review and traceability test | Quality, logistics, purchasing, production | Documents found quickly, clear links between them |
Closing meeting | The most senior production or operations manager, the quality manager | Feedback on findings and confirmation of non-conformities |
For an unannounced audit, BRCGS goes further: the absence of the technical or quality manager is not a reason to prevent the audit, because cover must exist. So name the deputies in writing, train them, and include them in the mock audit.
The consultant, if there is one, stays in the background. The standard allows external expertise, but the day-to-day management of the system belongs to the company (clause 1.2.4): your team does the answering. For how roles are shared before the audit, see our BRCGS certification hub.
How do the opening and closing meetings work?
The opening meeting frames the audit; the closing meeting sets its outcome. In between, BRCGS describes a consistent sequence for the on-site part: inspection of the production areas, requirements to be checked on site, document review including the traceability test, and a final review of findings by the auditor.
At the opening, the auditor confirms the scope and the running order. This is the moment to flag anything that affects the order of the day: a manager who is unavailable, a line changeover planned at a set time, production that only starts mid-morning. BRCGS lists these two points (key staff not available, time-dependent processes) as items to discuss at the opening meeting. During an unannounced audit, the meeting is short and the inspection of the production areas starts within 30 minutes of the auditor’s arrival.
For a first audit, allow more time. BRCGS notes that the opening and closing meetings of an initial audit often take longer, because the auditor explains the process and the documents they need to review.
During the audit, prepare the traceability test as a timed exercise. Clause 3.9.3 provides that traceability should be achievable within 4 hours, from the supplier of raw material and primary packaging to the finished product, and back again. Decide in advance who looks for what: goods receipt, production, packing, dispatch.
At the close, the auditor presents the findings and confirms the non-conformities. Note each one with its clause number and the evidence observed. Ask questions to understand, not to negotiate. Leave the meeting with a named owner for each non-conformity and a date for submitting the file.
How do you close non-conformities within the BRCGS deadline?
The site has 28 days after the end of the audit to send the certification body three items for each non-conformity: evidence of correction, the root cause analysis and the preventive action plan. The certification body then reviews the report and the evidence, and decides. If certification is granted, the certificate is issued no later than 42 calendar days after the first day of the audit.
Item in the file | What it must show | Example: loading-bay door not close fitting (clause 4.4.8) |
|---|---|---|
Correction | That the non-conformity found has been removed | Dated photo of the repaired door, signed work order |
Root cause analysis | Why the gap could exist | Door missing from the preventive maintenance plan, building inspection with no criterion on door seals |
Preventive action plan | What prevents recurrence, with owner and deadline | Every door added to the maintenance plan, door-seal criterion added to the inspection checklist, check at the next internal audit |
Extension | That similar situations have been checked | Check of the other external doors and dock levellers |
Clause 3.7 of the standard already requires this logic for any internal issue: root cause analysis, timescales and owners for corrective and preventive actions. The close-out file simply applies it to the auditor’s findings. For blended audits, BRCGS adds that verification may be carried out by reviewing the evidence submitted or through a further on-site visit.
Four mistakes keep coming back in the files we review:
- human error as the root cause, which does not explain why the error was possible;
- evidence without a date or signature, which cannot be linked to the non-conformity;
- a preventive plan without deadlines, which reads like a statement of intent;
- a file sent on day 28, with no margin if the certification body asks for more.
If the number or level of non-conformities prevents certification, the site must have a new full, announced audit no earlier than 28 calendar days after the last audit. And at the next audit, senior management will have to show that the root causes of the previous non-conformities have really been addressed (clause 1.1.12).
What checklist should you follow the day before and on audit day?
A short list, checked by the quality manager and their deputy. The substantive topics (HACCP, culture, suppliers) must be settled well before; this list makes sure audit day is not lost on organisation.
For the overall framework, read our guide to BRCGS certification in Morocco, and for the rules that apply to unannounced audits, BRCGS unannounced or blended audit: the rules in late 2026.