Introduction to Internal Audits

1. Introduction to Internal Audits • Steps and techniques • By www.22000-Tools.com

2. 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

3. 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.22000-Tools.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

4. 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.

5. 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 • Is the process done according to the plan? • Are employees aware of, trained on and following the FSMS documentation and requirements?

6. 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

7. 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

8. 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 • Sales and Marketing • Production • Quality Assurance • Management and Administration

9. 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.

10. 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.

11. 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.

12. 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.

13. 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

14. 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

15. Key Auditor Attributes • Communication skills • TactfulAbility to listenReword questions when neededUse local terminology • Objective • Flexible • Persistent • Curious

16. Techniques • The auditee may be stressed • Smile, relax • Point out good things that you see • Summarize with “Everything looks good here” when you can • As the auditor, you are creating the audit culture for your organization

17. Techniques • Use open ended questions, they provide more information. Ask • WhatWhereWhyWhoWhen • Ask for clarification or more information if you do not understand.

18. Techniques • Keep people informed of what you are finding • 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

19. 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

20. 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

21. 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

22. 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

23. 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

24. The Audit File • Final audit file includes: • Audit plan • Audit checklists • Audit report

25. 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

26. 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.

27. 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!