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