Audit Trail: A Sample Documentation Process

One of the core practices of your certified organic operation is developing good quality record-keeping and documentation (commonly referred to as an “audit trail”). Use this tool as an example when developing the documentation process for your operation.

Audit Trail:

A Sample Documentation Process
One of the core practices of your certified organic operation is developing good quality record-keeping and
documentation (commonly referred to as an “audit trail”). Although not every audit trail will be the same, the
following general principles are applicable to all certified operators:
Establish a documentation process that works for your business.
Using documentation for purposes of a food safety recall is often a good starting point and allows you to
use established internal controls without starting from ground zero.
Identify and use a strong link for all of your documentation practices.
The most important element of a good audit trail is establishing a common link between all steps and all
documents in your control system. For instance, using lot code numbers can easily allow an inspector or you
to work through each phase of your operation – ordering, receiving, processing and distribution to name a
few – to make documentation traceable, timely and transparent.
The following samples showcase a few of the basic document types found in most tracking control systems for
not just an organic inspector or certifier, but also for your own business practices:



Document I: Ingredient Invoice Order
Document II: Production Check Off List
Document III: Receiving Log
Document IV: Customer Invoice

Oregon Tilth | (503) 378-0690 | www.tilth.org

Audit Trail:

A Sample Documentation Process
DOCUMENT I: INGREDIENT INVOICE ORDER

INVOICE

[Zoot Cuke Riot, LLC]
[Street Address]
[City, ST ZIP]
Phone: (000) 000-0000

INVOICE #

DATE

[123456]

12-12-2014

BILL & SHIP TO

LMNOrganic Co.
[Company Name]
[Street Address]
[City, ST ZIP]
[Phone]
[Email Address]

DESCRIPTION

LOT CODE

0000001

Organic Cucumber Extract

Thank you for your business!

QUANTITY

UNIT PRICE

AMOUNT

2 Cases

$200

400.00

TOTAL

$ 400.00

If
 you
 have
 any
 questions
 about
 this
 invoice,
 please
 contact
 
[Name,
 Phone,
 email@address.com]
 

Oregon Tilth | (503) 378-0690 | www.tilth.org

Audit Trail:

A Sample Documentation Process
DOCUMENT II: RECEIVING LOG
WAREHOUSE RECEIVING LOG

DATE: 01-01-2015

Date

Time

Carrier

Product

Lot Code

Count

Initialed

01-02-2015

3PM

USP

Organic Cucumber Extract

0000001

1 Case

ES

SPECIAL INSTRUCTIONS:
N/A

Oregon Tilth | (503) 378-0690 | www.tilth.org

Audit Trail:

A Sample Documentation Process
DOCUMENT III: PRODUCTION CHECK OFF LIST
PRODUCTION CHECK OFF LIST: CUCUMBER TONIC

Material

DATE: 01-01-2015

Lot Code

Quantity

Check Off

Notes

Organic Cucumber Extract

0000001

30 Gallons

X

Added .5% extra

Organic Coconut Oil

0000002

2 Liters

X

N/A

Organic Rosemary

0000003

2 Lbs.

X

N/A

Organic Rose Petals

0000004

1 Lbs.

X

N/A

0009

.5 Lbs.

X

N/A

Date:

01-01-2015

Manager:

Ed Smith

Batch Code:

01012015A

Signature:

Ed Smith

Organic Comfrey

SPECIAL INSTRUCTIONS:
N/A
CATALOG INSTRUCTIONS:
1. Complete Check Off List
2. Sign and date
3. Log into Production Binder
4. Submit for Batch Processing
5. Submit for Spot Testing

Audit Trail:

A Sample Documentation Process
DOCUMENT IV: CUSTOMER INVOICE
Address

LMNOrganic Co.

City, State Zip

INVOICE# 123 / 01-01-202015
Customer Name Here

BALANCE DUE

Address

Upon Receipt

City, State Zip

$150.00

Order to be shipped via USPS Priority Mail.

Item Description
Organic Cucumber Tonic

Lot Code

Quantity

Price Per

Total

123ABC

1 CASE

$150.00

$150.00

Subtotal

$150.00

Tax – 0%

$0.00

TOTAL

$150.00

All Regions

PDF
4011, 4011, OT-Sample-Audit.pdf, OT-Sample-Audit.pdf, 846784, https://cms.organictransition.org/wp-content/uploads/2024/01/OT-Sample-Audit.pdf, https://cms.organictransition.org/resource/audit-trail-a-sample-documentation-process/ot-sample-audit-pdf/, , 1, , , ot-sample-audit-pdf, inherit, 4010, 2024-01-08 08:09:34, 2024-01-08 08:09:34, 0, application/pdf, application, pdf, https://cms.organictransition.org/wp-includes/images/media/document.png
2015