CLIENT INFORMATION NOTE
IFS Food, Issue 6.1, Audit Process.
Overview
In this Client Information Note we explain the key stages of
the LR process for audit against the International Food
Standard Issue 6, which we will refer to below as the ‘IFS
Food’.
In preparation for the visit, you must have a copy of the IFS
Food. You can get this from IFS portal as a free PDF
download. Other important documents including
interpretation guideline, doctrine, etc… can also be
downloaded from the same site.
Conduct of the visit
Independently from audit duration, besides on-site audit,
preparation of the audit shall be at least 2 hours.
1/3 of the audit duration shall be spent, as a minimum, in
the production area of the site.
Additionally, time for generation of the audit report is
typically 0, 5 days.
Before the audit, you may be asked to supply the following
information to the auditor to help him to plan the audit.
 Summary of critical control points
 Process flow diagram
 Site plan
 Organisational chart
 List of products
 Shift patterns
 Production schedules
 Previous IFS reports, if applicable
Lloyd’s Register
Our auditor will send a plan for the audit prior to the audit
(unless the audit is unannounced) - start the visit with an
opening meeting. At this meeting, we will:
 explain the LR assessment approach to your
management team
 request an introduction to your company, and
 confirm a visit plan with you.
The auditor will then work on:
 your quality systems and procedures, and your HACCP
study
 the on-site inspection and interviewing of the
personnel
 the final conclusions drawn from the audit
 the closing meeting.
We will carry out the audit against the Audit Checklist that
forms part of the IFS protocol.
Evaluation of requirements
We will grade the findings of the audit in line with the
requirements of IFS.
Non Conformities :
There are two kinds of non-conformities which are Major
and KO.
KO (Knock out) - there are specific requirements which
are designated as KO requirements (KO – Knock Out). If
during the audit the auditor establishes that these
requirements are not fulfilled by the company, this results
in non-certification. A full re-audit will be required before
we can issue a certificate.
IFS Food, Issue 6.1, Audit Process. | 01
Major –can be given to any requirement which is not
defined as KO requirement. When there is a substantial
failure to meet the requirements of the Standard, which
includes food safety and/or the legal requirements of the
production and destination countries. A Major can also be
given when the identified non-conformity can lead to a
serious health hazard.
Deviations – In IFS Food, there are 4 scoring possibilities:
Scoring with:
A: Full compliance with the requirement specified in the
Standard
B: Almost full compliance with the requirement specified
in the Standard, but a small deviation was found
C: Only a small part of the requirement has been
implemented
D: The requirement in the Standard has not been
implemented
A full re-audit is required if we have raised KO or several
Major nonconformities.
Closing meeting
It is advisable that the company’s senior managers are
present at the opening and closing meetings so that any
deviations and non-conformities can be explained
During the closing meeting, the auditor will
- present all findings and discuss all deviations and
non-conformities which have been identified
- confirm that the final decision of awarding the IFS
certificate is dependant both on final scoring and
on relevance of corrective action plan
communicated to LR.
If KO or Major NC are raised, the Auditor will discuss
arrangements for the next follow-up or full re-audit.
We will ask you to accept any nonconformity raised.
Audit report and Corrective Action Plan
The auditor will complete the visit report. He will send a
copy of the corrective action plan for completion.
Your company shall complete the corrective action plan
and send it back to the assessor within 2 weeks having
received the action plan layout. If this deadline is not
respected, your company has to undergo a complete
initial or renewal audit.
The assessor will verify your corrective action plan
remotely.
Awarding certificate
The final decision of awarding the IFS certificate is
dependant both on final scoring and on relevance of
Lloyd’s Register
corrective action plan communicated by the company to
LR.
The decision is made by person(s) other than those who
have carried out the audit.
Extension audit
In specific situations, such as new products and/or
processes to be included in the audit scope it is possible to
organise an on-site extension audit during the validity
period of the existing certificate. The updated certificate
shall keep the same due date of end of validity as the
current certificate
Renewal audit
Renewal audits are those which are performed after the
initial audit. The re-audit visit frequency is 12 months. The
period in which a renewal audit shall be performed is
shown on the certificate and called window time. The
renewal audit shall be scheduled during the window time
i.e. [–8 weeks; + 2 weeks] of the audit due date (due date is
anniversary date of the initial audit)
If this is not the case, the certificate cannot be renewed
with the “due date” but with the actual new date; this will
lead to a break in the certification.
In cases where more than one Major non-conformity have
been identified, a complete new audit shall be performed.
The new audit shall be scheduled no earlier than 6 weeks
after the audit where Major non-conformities were issued
Certificate
A certificate shall be issued to one specific site. The final
audit score, in percentage, can be published on the
certificate, if required.
The time between the date of the audit and the awarding
of certificate is between 6 up to 8 weeks.
Each certificate has a QR code
In case Non conformities (Major(s), or KO(s)) the current
IFS certificate will be suspended in the IFS audit portal by
LR as soon as possible and a maximum 2 working days
after the audit date.
Unannounced audit protocol
This option involves a full unannounced audit against the
audit checklist of the IFS Food requirements, which
replaces the yearly scheduled audit. The audit date will
not be notified to your company in advance of the audit.
This option is preferably aimed at renewal audits (i.e. for
companies already IFS Food certified), but may also apply
for initial audits.
IFS Food, Issue 6.1, Audit Process. | 02
For each renewal audit, the company shall inform LR
about the chosen option.
There are 2 options:
Option 1 : Is the regular registration to the unannounced
audit, with a timeframe of [- 16 weeks; + 2 weeks] (18
weeks in total) from the recent audit due date.
By choosing this option, the certification validity does
not change.
In case where initial audit will be performed directly
unannounced, there will not be a specific time window.
To get registered for an unannounced audit, the company
shall notify LR at latest before the start of audit window
time (see below). This applies both to companies keeping
LR and those changing certification body.
If your company does not inform LR before the start of
audit time window, the option “Unannounced” cannot be
chosen.
Option 2 : Was developed to give companies the
possibility to postpone or move forward their audit time
frame (18 weeks in total) in order to align it with other
schemes and/ or due to holidays or non-production
periods.
Based on the new time frame the validity of the next
certificate will change.
Therefore LR and IFS suppliers should discuss possible
certification gaps before the registration.
Window time : The time in which LR shall perform the
unannounced audit is [–16 weeks; + 2 weeks] of the audit
due date. The audit shall be performed during consecutive
days.
Blackout period : When registering for an unannounced
audit with LR, your company has the opportunity to
identify maximum 10 operational days, plus not operating
periods, when the site is not available for the audit. These
dates shall be notified to LR at the same time as your
company is registered for the unannounced audit and
reasons shall be provided. Reasons may be challenged by
LR or by the auditor during the audit.
Get in touch
Please visit www.lr.org for more information
Or call +44(0)1224 398 398
CIN033
Revision 0, 28 June 2018
Lloyd’s Register
If your company denies access to the auditor, the currently
valid IFS certificate shall be suspended by LR, within a
maximum of 2 working days after the audit date and this
information will be visible in the company history in the
audit portal. The company will be invoiced by LR for the
total cost of the audit. Moreover, the next audit can only
be scheduled announced.
Withdrawal of certificate
Withdrawal of certificate by LR is permitted in
case of any information indicating that the product may
no longer comply with the requirements of the
certification system
Sampling
An important point to remember is that the absence of
nonconformity or deviation does not necessarily imply
that no nonconformity exists. Audit work uses sampling
techniques, and thus statistically it is possible that issues
will remain unidentified during an audit. Please bear this
in mind as you carry out your own internal audits.
Confidentiality
We will not disclose any of the information we gather
about your organisation, including the contents of reports,
to any other party, except as required by the accreditation
body and IFS Management GmbH. The IFS standard
owners reserve the right to audit any of our IFS clients and
contractually you must allow all auditors visiting the site
to be witnessed either by COFRAC, IFS Management and
LR.
IFS Portal
LR must upload each audit report, action plan and
certificate to the IFS audit portal. Each certified company
will received an access with a dedicated password.
Lloyd’s Register
1 Trinity Park
Bickenhill Lane
Birmingham B37 7ES,
United Kingdom
Lloyd’s Register is a trading name of Lloyd’s Register Group Limited
and its subsidiaries. For further details please see www.lr.org/entities
© Lloyd’s Register Group Limited 2018
IFS Food, Issue 6.1, Audit Process. | 03