Introduction to
Internal Audits
Steps and techniques
By www.22000-Tools.com
Internal Audits
•
Purpose
•
Internal audits play a critical role in maintaining
and improving a Management System.
•
Determine if the system is meeting requirements
•
Identify nonconformances
•
Drive continuous improvement
•
Measure compliance with the documented
system
Internal Auditors
• Internal auditors are responsible for verifying the
effective implementation of the food safety management
system.
• Internal auditors must complete an internal auditor
training course (See our Online Training at www.22000Tools.com)
Auditors:
Find objective evidence that the system is implemented and
effective
Identify nonconformances
Where the system is not implemented or operating as planned
Where the system does not meet requirements of the standard
Types of Audits
•
In addition to internal audits there are 2and
and 3rd party audits. Each type of audit
differs in purpose and focus.
•
3rd Party Audits: an audit by an independent
organization with no stake in the management
system, for example your certification audit.
•
2and Party Audits: an outside company that
conducts an audit but has a relationship with
the organization, for example a supplier audit.
•
Internal Audits: employees or contractors for
an organization auditing for the organization.
Internal Audits
•
Focus on compliance to the organization’s
documented food safety management
system
•
Auditors will compare what is being done to
the documented policies, procedures and
other FSMS documentation
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Is the process done according to the plan?
•
Are employees aware of, trained on and
following the FSMS documentation and
requirements?
Internal Audit or
Inspection?
•
Many companies have GMP inspections or
regularly scheduled inspections of
Prerequisite programs.
•
These differ from audits because:
•
They are typically based on a standard
checklist that designed to look at each point
individually and determine if a requirement is
being followed
•
Internal audits look at the system and include
the interaction of processes
The Audit Program
•
First, an audit program must be planned
and implemented. Designate responsibility
for an audit coordinator that will:
•
Maintain the audit schedule
•
Assign auditors
•
Initiate audits
Audit Coordinator
• The audit coordinator with work with
management to identify how the audits will be
organized.
•
One effective method is to divide the facility into
sections or departments for auditing.
•
For example:
•
Research and Development
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Sales and Marketing
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Production
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Quality Assurance
•
Management and Administration
The Audit Schedule
• Prepare an audit schedule. Each area must
be audited at least one a year, but for an
effective program plan on auditing each area
at least twice.
The Audit Plan
• Identify what
processes or
procedures must
be audited in
each area or
department.
• These will be
included in the
audit plan for the
area.
The Audit Plan
•
When an internal audit is coming up on the schedule, the
audit coordinator will determine how much time and how
many auditors are required.
•
Based on the status and importance, as well as the number
of procedures that apply to the area and must be included in
the audit.
•
The amount of time allotted has a direct effect on the scope
and depth of the audit.
•
The auditor/s assigned must be independent of the area
being audited.
The Audit Plan
• Once your schedule is
complete it is time to get
ready for your first audit.
• Prepare your audit plan
based on the processes
and procedures you
identified.
Audit Steps
• Internal audit steps:
Create audit schedule
Complete audit plan
Hold opening meeting
Conduct audit
Document Findings
Prepare audit report
Hold closing meeting
Prepare audit file
Follow up
Performing the Audit
•
After the opening meeting you will start your
audit.
•
Using your checklists and procedures as
references, go out to observe the process and
talk to people in the department
•
You are looking for evidence that the Food
Safety Management System is working
effectively
•
An effective audit will depend on your ability to
put people at ease and encourage open
honest communication
Key Auditor Attributes
•
Communication skills
• Tactful
Ability to listen
Reword questions when needed
Use local terminology
•
Objective
•
Flexible
•
Persistent
•
Curious
Techniques
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The auditee may be stressed
•
Smile, relax
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Point out good things that you see
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Summarize with “Everything looks good
here” when you can
•
As the auditor, you are creating the audit
culture for your organization
Techniques
•
Use open ended questions, they provide
more information. Ask
• What
Where
Why
Who
When
•
Ask for clarification or more information if you
do not understand.
Techniques
•
Keep people informed of what you are
finding
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Point out nonconformances as you go
•
Make sure the auditee understands what you
see as the nonconformance
•
There should not be surprises at the closing
meeting when you present your findings
Performing the Audit
• As an auditor you will:
Check documents and records
Ask questions
Observe processes and compare them with
documented procedures and work
instructions
Investigate any differences
Follow audit trails, be curious
Take good notes
Performing the Audit
• Throughout the audit, you will take detailed
notes on what you find.
Be specific on what is reviewed and what is
found
The information you write down will be used
to identify nonconformances and to assist
the department in finding and
understanding what you observed
Documenting the Audit
• Once you complete your audit, you will prepare an audit
report and document any nonconformances.
• The report will also include:
• General information
• Documents reviewed
• Persons interviewed
• General summary and assessment of how the system is
performing
Documenting the Audit
• When your documentation is complete you
will be ready to hold your closing meeting.
The lead auditor will lead the meeting.
Thank the group for their cooperation
Remind them that this is an evaluation of
the processes not the people
The Closing Meeting
• Summarize the findings
Highlight areas that are working well
Review each of the nonconformances, allow questions and
discuss the finding to make sure that the group understands
the nonconformances
Discuss any corrective actions that you followed up on that
were not found to be effective
Have the group sign the audit report as a record of attendance
Give a copy of the table of nonconformances to the area
management
The Audit File
• Final audit file includes:
Audit plan
Audit checklists
Audit report
Summary
• Internal Audits are one of the most important pieces of the
food safety management system
• Implementing an effective system will help ensure an
effective food safety management system, and successful
certification audits
• Training of the auditors is the key to having an effective
internal audit program.
• Train your audit team with our interactive online training
program. Each auditor will complete the practice audit and
develop the skills and confidence they need to ensure your
program is the best it can be. Online Internal Auditor Training:
www.22000-Tools.com
Online Internal Auditor
Training by www.22000-Tools.com
• Available for SQF, BRC, FSSC 22000 and ISO 22000
• Get first hand experience with each step as you complete the course exercises
and perform an practice audit of our fictional company "Mandy's Vanilla". Upon
successful completion of the final test, you will be able to print your certificate.
• During this audit you will have access to the documents and records you need
to conduct an interactive audit of Mandy's Vanilla giving you practice on audit
plans, preparing checklists, questioning the staff at Mandy's, reviewing records
and procedures and identifying and documenting nonconformances.
Online Internal Auditor
Training by www.22000-Tools.com
• Our course is available on-demand, is approximately 4-6
hours long, and can be completed in multiple sessions.
•
Dear Cynthia,
•
I have just completed the SQF Internal Auditor Training module online. I think this a great
course! The scope of the training is extensive and gives the trainee all the tools necessary to
develop an effective internal auditing strategy. Whether you have an existing program or are
starting from scratch, this training will strengthen your program.
•
This online training module was accepted by our SQF Auditor to satisfy the Internal Auditor
training requirement. You can complete the modules at your own pace and practice as much
as needed. It is the most cost effective way to get Internal Auditor training. There are no travel
or hotel costs making this a great way to train one person or team of internal auditors. Thanks
for putting together such a great training tool!