How To Prepare For A BRCGS Agents and Brokers Audit: A Step-by-Step Checklist

BRCGS Agents and Brokers Certification applies to businesses that buy, sell, or facilitate trade in food, packaging, or consumer products without directly manufacturing them. Preparing for the audit requires aligning documentary systems and operational practices with the standard’s requirements for traceability, supplier control and product integrity.

Preparation reduces the risk of non-conformances during the certification audit and shortens the path to passing. This article breaks down practical steps brokers, agents, trading companies and non-manufacturing distributors should follow in the 90 days before a Stage 1 or Stage 2 assessment.

Initial Preparation Steps (60–90 Days Out)

Begin with management commitment and a documented plan. Senior management must confirm scope, resources and who will be the primary contact for the certification body. A gap analysis against the standard is the single most useful early activity.

• Gap Analysis: Map existing documents, processes, and records to the standard’s clauses and list missing items.
• Scope Definition: Decide which sites, product categories and trading activities are included.
• Assign Roles: Appoint a certification project lead and responsible owners for supplier files, traceability and recall.

Documenting Systems And Records (30–60 Days Out)

Auditors look for clear, accessible records that prove the system works — not just a folder of policies. Focus on standard-required documents and evidence of day-to-day implementation.

• Supplier Approval Files: Contracts, specifications, incoming verification checks and recent approvals.
• Traceability Records: Purchase orders, invoices, bills of lading and delivery confirmations that form a continuous documentary chain.
• Non-Conformance Records: Incident reports, corrective actions and customer complaint logs.

Operational Readiness (14–30 Days Out)

Test the system under audit-like conditions. Practical exercises expose weaknesses before the certification body finds them.

• Trace Exercise: Perform a forward-and-backwards trace of at least one SKU from customer to supplier and back again using only the records you would present to an auditor.
• Recall Drill: Simulate a withdrawal/recall based on a fictitious product issue, documenting timings, notifications and actions taken.
• Internal Audit: Conduct an internal audit covering supplier management, traceability, product integrity and corrective actions.

Site And Third-Party Checks (7–14 Days Out)

If your activities include storage or transport subcontractors, verify their competence and ensure you have current contracts and evidence of agreed specifications. Auditors will examine links to third parties when those services affect product integrity or traceability.

• Contract Review: Ensure contracts specify responsibilities for product handling, temperature control and record provision.
• Third-Party Records: Collect recent delivery/service records and evidence of supplier audits or monitoring.

During The Audit

Present a single, well-organized set of documents and be ready to demonstrate processes. Assign staff to accompany the auditor and answer questions. Honesty and transparency speed the process — if an issue exists, show the corrective action plan and evidence of progress.

• Document Pack: Provide an indexed set of documents or an electronic folder with clear filenames and version control.
• Trace Demonstration: Walk the auditor through a real trace or a recent example to show how records link.
• Corrective Actions: Be ready to discuss root cause analysis and corrective/preventive actions for recent incidents.

Common Non-Conformances To Avoid

Auditors commonly find gaps in supplier approval, incomplete trace records, untested recall procedures, and insufficient evidence that third-party storage/transport meets agreed requirements. Address these areas first.

Post-Audit Actions

If the audit identifies minor or major non-conformances, respond with a clear, time-bound corrective action plan. Maintain dialogue with the certification body and provide evidence of implemented fixes. Once closed, plan surveillance activities and continue periodic internal audits.

Quick Checklist

• Supplier Files: Current contracts, specifications and verification checks.
• Trace Records: PO to delivery paper trail for representative SKUs.
• Recalls: Documented and tested recall/withdrawal plan.
• Third Parties: Up-to-date contracts and evidence of monitoring.
• Internal Audit: Recent internal audit covering core clauses.

In short, the BRCGS Agents and Brokers Certification audit rewards clear documentation, demonstrable traceability and tested emergency procedures. Systematic preparation — gap analysis, record readiness, trace and recall exercises — is the fastest route to certification and continuing compliance.