When organizations approach BRC certification for the first time, the biggest concern is often uncertainty. Questions like “Are we ready?” or “What will the auditor expect?” come up frequently. After supporting multiple facilities through their first certification audits, one thing has become clear: passing the first time isn’t luck. It’s preparation, clarity, and consistency.
This guide walks you through how the BRC V9 audit works, what you need in place, how to prepare confidently, and how to avoid the preventable mistakes that delay certification or lower scoring. If you align your system, your people, and your operational controls early, the audit becomes a demonstration—not a scramble.
Understanding the BRC V9 Audit Structure
The BRC audit follows a consistent structure, and understanding this helps the process feel predictable.
A typical audit includes:
Opening meeting
Document and record review
Site inspection and GMP assessment
Interviews with staff at all levels
Traceability and mass-balance test
HACCP verification
Closing meeting with findings and grading outcomes
The audit is evidence-driven. Auditors are not looking for perfection; they are looking for consistent control, documented proof, and alignment between procedures and real practice.
Announced vs Unannounced Audits – Choosing the Right Route
BRC offers two formats:
Announced audits provide a scheduled date. This format works well for teams building confidence, aligning systems, or implementing new controls.
Unannounced audits demonstrate routine compliance rather than staged compliance. They require strong culture and consistent execution across all shifts.
Neither format is “easier.” The right choice depends on your system maturity, customer expectations, and operational stability.
Internal Audits and Gap-Analysis – The First Real Preparation Step
Internal audits are the most reliable way to understand whether your systems function as intended. A structured internal audit program identifies weak areas early, verifies implementation, and builds familiarity with compliance expectations.
A strong approach includes:
Clause-based internal audits
Planned audit frequency instead of one annual event
Trained internal auditors independent from the audited area
Follow-up actions and verification steps
Gap-analysis is equally valuable, especially for new certification sites. It helps compare your current system against BRC requirements and identify missing documentation, risk assessments, or procedural alignment.
Documentation Control, Records, and Evidence
BRC certification relies heavily on documentation and evidence. Auditors expect:
Controlled documents with version tracking
Current procedures and SOPs aligned with practices
Complete, legible, and timely records
Evidence that demonstrates decisions, monitoring, and verification
One of the most common weaknesses in new certification attempts is documentation that exists on paper but doesn’t match real practice. Consistency between written expectations and operational reality is essential.
Operational Controls and GMP Readiness
During the site tour, auditors observe hygiene, process flow, segregation, cleaning effectiveness, and how staff interact with standards in real time.
Key areas include:
Personal hygiene compliance
Cleaning and sanitation routines
Allergen and cross-contact controls
Condition of equipment and infrastructure
Line organization and visual standards
Identification and management of non-conforming product
Consistency is essential. If controls look strong only when leadership is present, the system isn’t ready.
HACCP and Food Safety Plan Strength
A robust HACCP plan sits at the center of a successful BRC audit. Under BRC V9, auditors evaluate how well your HACCP system reflects real risk—not just theoretical models.
Expectations include:
Hazard identification based on actual product and process risks
Scientific validation of control measures
Regular verification and review
Competency of the HACCP team
Records demonstrating ongoing control effectiveness
HACCP must evolve when processes, products, or equipment change—not remain static.
Training and Competency
Certification requires more than training records. Auditors look for evidence that staff understand their role and can demonstrate knowledge during interviews.
A strong system includes:
A role-based competency matrix
Refresher frequency based on risk
Training for agency, temporary, or seasonal staff
Assessment methods beyond signature sheets
Training should support confidence, not memorization.
Traceability, Mass Balance, and Recall Readiness
Traceability demonstrations are high-impact moments in the audit. Auditors expect rapid, accurate traceability from raw materials to finished goods and back again.
Foundations of strong traceability include:
Batch identification clarity
Supplier documentation completeness
Packaging linkage
Rework and hold process documentation
Mass balance accuracy
A realistic, timed mock recall strengthens readiness and reduces stress during certification.
Common Non-Conformities and How to Prevent Them
Across industries and product types, the same audit findings appear repeatedly. Frequent non-conformities include:
Documentation inconsistencies
Allergen management gaps
Cleaning verification weaknesses
Calibration or equipment verification failures
Incomplete training evidence
Traceability errors
Weak internal audit or management review follow-up
One example worth mentioning: a facility received multiple findings related to allergen control, not because controls were missing, but because controls weren’t verified consistently across shifts. The correction wasn’t rewriting a procedure—it was embedding accountability into daily routines.
Corrective Actions and Root Cause Readiness
Even with strong preparation, findings can occur. What matters is how you respond.
A strong corrective action response includes:
Clear description of the issue
Root cause analysis using a structured method
Immediate containment or correction
Long-term preventive action
Evidence that demonstrates closure
Assigned responsibility and timelines
Vague responses such as “staff retrained” rarely satisfy auditors unless paired with verification and system improvement.
BRC Audit Scoring System – What Determines Your Grade
Your final grade reflects:
The number of findings
The severity of those findings
Whether findings are repeat observations
The audit format (announced versus unannounced)
Timely submission and evidence quality
Grades are not just a result—they communicate maturity to customers and stakeholders. A first-time certification can achieve a high grade when preparation is structured and proactive.
Audit Day Execution – What to Expect and How to Behave
Professionalism and calm communication go a long way. The audit should be treated as a formal assessment, not an interrogation.
Effective behaviors include:
Listening fully before responding
Showing evidence, not assumptions
Staying factual and concise
Having designated staff available when needed
Overexplaining, guessing answers, or rushing often creates more doubt than clarity.
After the Audit – Closing the Loop
Once the audit concludes, internal follow-through is just as important as preparation.
Post-audit actions include:
Reviewing findings internally
Prioritizing corrective actions
Tracking deadlines
Updating risk assessments, procedures, or training as needed
Documenting lessons learned for future cycle improvement
The goal is not to return to business as usual, but to elevate consistency.
FAQs – First-Time BRC Certification
How long does preparation usually take? Timeline depends on system maturity, but many first-time sites prepare over several months.
Can a site fail and still continue toward certification? Yes. Corrective actions, closure, or a full re-audit may be required depending on severity.
Do we need external support? Some organizations benefit from structured guidance. Others manage internally with strong food safety leadership. Competency is the requirement, not the source.
Conclusion – Confident, Controlled, and Audit-Ready
Passing a BRC audit the first time is achievable with structure, consistency, and alignment between documentation and daily practice. When internal audits, operational discipline, traceability, HACCP structure, and corrective action capability all function reliably, certification becomes a natural outcome of how the site operates.
If you’re ready to move from preparation to execution, the next step is building a structured audit-readiness plan and ensuring every requirement is not only understood, but practiced consistently.
Melissa Lavaro is a seasoned ISO consultant and an enthusiastic advocate for quality management standards. With a rich experience in conducting audits and providing consultancy services, Melissa specializes in helping organizations implement and adapt to ISO standards. Her passion for quality management is evident in her hands-on approach and deep understanding of the regulatory frameworks. Melissa’s expertise and energetic commitment make her a sought-after consultant, dedicated to elevating organizational compliance and performance through practical, insightful guidance.
