BRCGS Food Safety Issue 9: Lead Auditor Training

The qualification is structured around eight complementary units so that learners progress from understanding the Standard to independently planning, conducting, reporting and reviewing a lead audit.

Unit 1: BRCGS Issue 9 Scope and Structure

1. Scope and Purpose of BRCGS Food Safety : Introduces the purpose, application and role of the BRCGS Food Safety Standard in controlling product safety, authenticity, legality, quality and operational risks within food manufacturing environments.

2. Standard Structure and Requirement Interpretation : Develops the ability to navigate the Standard, understand clauses and statements of intent, distinguish mandatory requirements from supporting guidance, and interpret requirements within their operational context.

3. Issue 9 Development and Key Changes : Examines the principal developments introduced through Issue 9, including strengthened product safety culture, HACCP alignment, internal auditing, root cause analysis, preventive actions, incident management and equipment requirements. 

4. Current Position Statements and Scheme Updates : Develops awareness of the role of BRCGS position statements, including the current F926 clarifications applicable from 10 August 2026, and how scheme updates affect audit preparation and interpretation. 

Unit 2: Food Safety Management and HACCP Audit Criteria — 5 Credits

1. Senior Management Commitment : Examines leadership responsibility, food safety objectives, resources, management review, accountability and the organisational conditions required to sustain an effective food safety system.

2. HACCP and Food Safety Plan Evaluation : Develops competence in reviewing hazard analysis, prerequisite programmes, control measures, critical control points, monitoring systems, validation, verification and HACCP review processes.

3. Food Safety and Product Safety Culture : Examines how leadership behaviour, communication, employee engagement, reporting practices and continuous improvement contribute to an effective product safety culture.

4. Food Safety Management System Controls : Evaluates documented procedures, records, specifications, supplier controls, traceability, incident management, internal audit arrangements and system verification.

5. Authenticity, Fraud and Product Integrity Risks : Develops audit approaches for assessing vulnerability assessment, food fraud controls, authenticity risks, supplier information and preventative measures supporting product integrity.

Unit 3: Site and Operational Requirements

1. Site Standards and Hygienic Conditions : Examines premises, building condition, layout, utilities, cleaning, hygiene, maintenance and environmental controls used to protect food safety.

2. Supplier Approval and Raw Material Control : Develops audit techniques for evaluating supplier approval, raw material specifications, supplier performance, incoming controls, testing and risk-based supplier monitoring.

3. Product Control and Traceability : Examines product specifications, labelling, packaging, traceability, mass balance, product testing, release controls and mechanisms for identifying and managing product risks.

4. Process Control and Verification : Evaluates operational procedures, process parameters, monitoring activities, calibration, validation, process change controls and the management of deviations.

5. Personnel and Hygiene Practices : Assesses training, personal hygiene, protective clothing, health requirements, behavioural controls and workforce practices relevant to food safety.

6. Production Risk Zones and Traded Products : Develops knowledge of controls relating to high-risk, high-care and ambient high-care production environments, together with the additional considerations applicable to traded products.

BRCGS Issue 9 is organised across sections covering senior management commitment, HACCP, food safety and quality management systems, site standards, product control, process control, personnel, production risk zones and traded products. 

Unit 4: Audit Planning and Evidence Collection

1. Audit Scope, Objectives and Criteria : Develops the competence to define audit objectives, scope, criteria, boundaries and priorities while maintaining alignment with the applicable BRCGS requirements.

2. Risk-Based Audit Planning : Covers audit scheduling, process prioritisation, sampling considerations, previous findings, high-risk activities, audit trails and allocation of appropriate audit resources.

3. Auditor Competence and Team Leadership : Examines the roles, responsibilities, technical competence, independence and coordination requirements of auditors working within a lead-audit team.

4. Audit Preparation and Documentation Review : Develops systematic approaches to reviewing procedures, records, specifications, HACCP documentation, previous audit findings and other information before the audit begins.

5. Objective Evidence and Sampling : Develops techniques for collecting sufficient, relevant and reliable evidence through observation, interview, document review, record sampling, traceability exercises and process verification.

6. Remote and Blended Audit Considerations : Examines the appropriate use of information and communication technology for audit activities while recognising which controls require physical assessment and on-site verification.

Issue 9 expanded audit options through ICT and introduced a blended announced audit approach in which documented systems and records may be assessed remotely while production, storage and other on-site activities remain central to the physical audit. 

Unit 5: Audit Execution and Auditor Techniques 

1. Opening Meetings and Audit Communication : Develops professional approaches to audit opening meetings, communication of objectives, confirmation of arrangements and establishment of constructive working relationships.

2. Interviews, Observation and Questioning : Develops effective questioning, active listening, observation and follow-up techniques for obtaining objective evidence without leading the auditee or creating unnecessary conflict.

3. Audit Trails and Cross-Functional Verification : Teaches learners to follow evidence across documents, people, processes, records and production activities to determine whether systems are effectively implemented.

4. Evaluating Conformity and Non-Conformity : Develops the ability to compare evidence against audit criteria, distinguish isolated issues from systemic weaknesses and formulate clear evidence-based findings.

5. Professional Judgement and Auditor Conduct : Examines impartiality, confidentiality, professional scepticism, consistency, ethical conduct, evidence-based decision-making and appropriate handling of disagreements during audits.

The structure is deliberately aligned with international auditing practice. ISO 19011:2026, now the current edition, provides guidance on audit principles, audit programme management, conducting audits and evaluating auditor competence. ISO

Unit 6: Non-Conformity, Root Cause and Corrective Action 

1. Classification of Audit Findings : Develops competence in identifying, documenting and communicating non-conformities in a manner that is objective, specific, traceable and supported by audit evidence.

2. Root Cause Analysis : Examines structured methods for determining underlying causes rather than merely recording immediate symptoms, with emphasis on systemic improvement.

3. Corrective and Preventive Action : Evaluates corrective action plans for adequacy, responsibility, timescales, effectiveness and alignment with the actual cause and significance of the finding.

4. Verification of Corrective Action : Develops techniques for reviewing evidence that actions have been implemented and determining whether they have effectively addressed the identified problem.

5. Recurring and Systemic Issues : Examines trends, repeat findings, weak controls and systemic failures that may indicate ineffective management-system implementation.

Issue 9 specifically identified internal audits, root cause analysis, preventive actions and incident management as areas requiring updated attention. 

Unit 7: Audit Reporting, Protocol and Certification Processes 

1. Audit Reporting and Record Quality : Develops professional audit-reporting skills covering evidence, findings, conclusions, audit scope, limitations and clear communication of results.

2. BRCGS Audit Protocol : Examines the protocol governing the audit process, including programme arrangements, audit execution, reporting, certification and relevant site responsibilities.

3. Compliance and Certification Support : Develops understanding of how audit outcomes support certification decisions, continual improvement, follow-up activities and effective engagement with certification processes.

4. Auditor Requirements and Professional Development : Examines auditor competence, continuing development, technical updating, evaluation and maintenance of professional auditing capability.

The BRCGS Lead Auditor course explicitly includes audit protocol, BRCGS compliance and support, and auditor requirements within its programme. BRCGS

Unit 8: Lead Auditor Simulation and Competence Assessment 

1. Integrated Audit Planning Exercise : Requires learners to develop a complete lead-audit plan using a realistic food-manufacturing scenario, defined scope, audit criteria, sampling strategy and team allocation.

2. Simulated Manufacturing Site Audit : Provides structured practical experience in interviewing, observation, document review, evidence collection, traceability and process-based auditing.

3. Findings and Audit Decision Exercise : Requires learners to evaluate collected evidence, determine conformity, formulate non-conformities and justify conclusions using objective evidence.

4. Lead Auditor Reporting Simulation : Requires preparation and presentation of a professional audit report containing findings, evidence, conclusions and corrective-action expectations.

5. Final Lead Auditor Competence Review : Integrates knowledge, judgement, communication, leadership, evidence evaluation and reporting capability into a final competency assessment.

Learners completing the qualification should be able to:

• Interpret and apply BRCGS Food Safety Issue 9 requirements in an audit context.

• Plan risk-based food safety audits and allocate audit resources effectively.

• Assess HACCP systems, management controls and operational food safety practices.

• Gather and evaluate objective audit evidence.

• Conduct professional interviews and process-based audit trails.

• Identify and document evidence-based non-conformities.

• Evaluate root cause and corrective-action responses.

• Produce structured audit reports.

• Lead simulated audit teams and make defensible audit decisions.

• Understand current Issue 9 protocol and position-statement developments.

BRCGS states that its Lead Auditor course is intended to develop an in-depth understanding of the Standard and competence in assessing compliance, planning audits and reporting audit results

This qualification is designed for:

• Food Safety Managers and Quality Managers

• Technical and Compliance Managers

• QA/QC and food safety professionals

• Internal auditors and audit-team members

• Food manufacturing supervisors and operations managers

• Food safety consultants and technical consultants

• Personnel preparing for BRCGS third-party auditing responsibilities

• Retail, supplier-assurance and foodservice professionals involved in food safety audits

• Experienced HACCP and food safety practitioners seeking lead-auditor development

The audience broadly reflects the current BRCGS Lead Auditor course, which identifies technical managers, quality personnel, operations managers, internal audit personnel, consultants and other food-sector professionals among potential participants.

Assessment Format: 50-question written knowledge examination supported by case-study audit planning, evidence evaluation, audit-reporting and lead-auditor simulation assessments.

Total Questions: 50

Passing Score: 75%

Duration: 90 minutes for the written examination, plus separately scheduled practical and case-study assessments.

Certification: Successful learners receive a HiQual UK BRCGS Food Safety Issue 9: Lead Auditor Training

To deliver this Qualification, HiQual UK Approved ATPs must demonstrate the capability to deliver, assess, and internally quality assure qualifications in line with recognised regulatory principles and the expectations of the Regulated Qualifications Framework (RQF).

Approved centres must operate effective systems to ensure the validity, reliability, fairness, consistency, and security of assessment.

1. Centre Recognition and Legal Compliance

Centres must be formally recognised by HiQual UK prior to the delivery or assessment of any qualification. To maintain recognition, centres must: Be a legally constituted organisation operating in compliance with applicable legislation and regulatory requirements. Demonstrate effective governance, management oversight, and clear lines of accountability. Comply with all HiQual UK policies, procedures, and conditions of centre recognition. Notify HiQual UK promptly of any material changes that may affect delivery, assessment, or internal quality assurance arrangements.

2. Resources, Facilities, and Learning Environment

Centres must ensure that sufficient and appropriate resources are in place to support learning and assessment. This includes: Learning environments appropriate to the mode of delivery, including classrooms and, where applicable, specialist or practical facilities. Access to learning and assessment resources that enable learners to meet qualification outcomes. Secure systems for managing learner data, assessment records, and certification claims. Arrangements that support equality of access and reasonable adjustments for learners where required.

3. Staff Competence and Occupational Expertise

Centres must ensure that all staff involved in delivery, assessment, and internal quality assurance are competent and suitably qualified. Centres must: Appoint tutors with appropriate subject knowledge, teaching competence, and relevant occupational or professional experience. Ensure assessors are trained and competent in applying HiQual UK assessment requirements and standards. Appoint a qualified Internal Quality Assurer (IQA) responsible for monitoring assessment practice and decisions. Maintain records of staff qualifications, experience, training, and continuing professional development (CPD).

4. Assessment Practice and Internal Quality Assurance (IQA)

Centres must operate robust internal quality assurance systems to ensure assessment integrity. Centres must: Ensure assessment is valid, fit for purpose, and conducted in line with HiQual UK requirements. Implement effective IQA procedures to monitor assessor performance and confirm the consistency of assessment decisions. Maintain accurate, complete, and auditable records of learner registration, assessment evidence, and outcomes. Carry out regular internal reviews and standardisation activities to support continuous improvement.

5. Integrity, Risk Management, and Malpractice

Centres must take appropriate measures to protect the integrity of assessment. Centres must: Maintain policies and procedures for the prevention, identification, and management of malpractice and maladministration. Ensure secure handling, storage, and retention of assessment materials and learner evidence. Report any suspected or confirmed malpractice to HiQual UK in accordance with published procedures.

6. Health, Safety, Safeguarding, and Learner Protection

Centres must provide a safe, inclusive, and supportive learning environment. Centres must: Comply with applicable health and safety and safeguarding legislation. Conduct risk assessments for learning activities, particularly where practical or technical work is involved. Maintain procedures to safeguard learner welfare and wellbeing.

7. Learner Information, Support, and Fair Treatment

Centres must ensure learners are informed, supported, and treated fairly. Centres must: Provide clear and accurate information on programme requirements, assessment methods, and certification. Ensure learners receive timely and constructive feedback on assessment outcomes. Operate transparent complaints and appeals procedures aligned with HiQual UK requirements. Manage learner information securely in compliance with data protection legislation.

Successful learners who achieve the HiQual UK BRCGS Food Safety Issue 9: Lead Auditor Training may progress to:

• Higher-level food safety and quality management qualifications, including Level 5 or Level 6 study in food safety, quality assurance or compliance.

• Specialist programmes in HACCP, food defence, food fraud, supplier assurance, internal auditing and food safety culture.

• Professional auditor-development routes leading toward additional first-, second- or third-party auditing responsibilities, subject to the requirements of the relevant certification programme or certification body.

• Career development into roles such as Lead Internal Auditor, Food Safety Auditor, Quality Manager, Technical Manager, Supplier Assurance Auditor and Food Safety Consultant.

• Continuing professional development in BRCGS Food Safety, GFSI-recognised certification programmes, audit methodology and emerging food safety requirements.

GFSI itself does not train or approve individual auditors; auditor competence and registration requirements are determined by the relevant certification programme owners and certification bodies.