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Setting up an Internal Audit Program

Setting up an Internal Audit Program By <a href=www.22000-Tools.com " id="pdf-obj-0-9" src="pdf-obj-0-9.jpg">

Internal Audits

Internal Audits • Importance of Internal Audits • Certification bodies rely upon internal audits to monitor

Importance of Internal Audits

Certification bodies rely upon internal audits to monitor the

system in between their visits

A key source of continual improvement

Vital to identifying nonconformances

Sited as one of the top 10 sources of nonconformances raised in

third party audits

Other Types of Audits

Other Types of Audits • In addition to internal audits there are 2nd and 3rd party

In addition to internal audits there are 2nd 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. 2nd 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

Internal Audits • Focus on compliance to the organization’s documented food safety management system • Auditors

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?

Internal Audit or

Inspection?

Internal Audit or Inspection? • Many companies have GMP inspections or regularly scheduled inspections of Prerequisite

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

Requirements

Requirements • SQF • The methods and responsibility for scheduling and conducting internal audits shall be

SQF

The methods and responsibility for

scheduling and

conducting internal audits shall be documented and implemented

FSSC 22000

BRC

The organization shall conduct

internal audits at

planned intervals.

 

An audit program shall be planned

The audit criteria,

scope, frequency, and methods shall be defined

There shall be a planed program of

internal audits

The scope and frequency of the audits shall be

established

Requirements

Requirements • Audit schedule • Status and importance of the area • Frequent enough to measure

Audit schedule

Status and importance of the area

Frequent enough to measure the performance of the FSMS

Trained internal auditors

Impartial to the area being audited

Timely corrective action and verification of effectiveness

Internal Audits

Internal Audits • Implementing an effective internal audit program is one of the most important steps

Implementing an effective internal audit program is one of

the most important steps you can take for a successful

certification project and ongoing compliance and

improvement.

Internal Audits

Internal Audits • Key elements of a successful program • Management commitment • A well planned

Key elements of a successful program

Management commitment

A well planned audit schedule

Defined responsibilities for planning and initiating audits

Clear audit information:

Process or area of the facility included in each audit Requirements of the standard that apply and must be included Good audit tools

Trained internal auditors

Planned follow up on findings

Management

Commitment

Management Commitment • Management commitment is the key ingredient • An internal audit program requires resources

Management commitment is the key ingredient

An internal audit program requires resources

Keeping internal audits on schedule requires prioritizing audits so

they are not continually put off because of other activities taking place

Management commitment establishes the importance and value

of internal audits throughout the facility Management sets the tone of the audit program

Make sure that management has an understanding of the internal audit program

The Audit Schedule

The Audit Schedule • A well planned audit schedule is important to ensure that everything is

A well planned audit schedule is important to ensure that everything is covered according to the requirements The schedule is attainable

Audits are not left to the last minute

Audit schedules work with production and other activities

Enough auditors are trained and available to complete the

schedule, areas are audited at appropriate frequency

Create the schedule with management involvement

Audit Coordinator

Audit Coordinator • Once audits are on the schedule, you must make sure that they are

Once audits are on the schedule, you must make sure that they are assigned and initiated

An audit coordinator is an important aspect of the system

Work with management to assign auditors to each audit on the schedule

Inform the auditors responsible

Provide the audit tools and information

Collect audit records

Follow up if audits are not completed on time, or if records and reporting are not complete

Resolve scheduling issues, inform management of any delays and changes

Audit Information

Audit Information • Scope • Clear definition of what is included in each audit on the

Scope

Clear definition of what is included in each audit on the schedule:

Process or area of the facility

Requirements of the standard

Good audit tools

Checklists based on the information above

Forms for reporting and documenting nonconformances

Audit Scope

Audit Scope • Defining the scope of the audit: • Clause of the Standard • Management

Defining the scope of the audit:

Clause of the Standard

Management Commitment, Document Control

Process, department or area of the facility

Bottling, Warehousing, Maintenance

By Clause of Standard

By Clause of Standard
By Clause of Standard

By Clause of Standard

By Clause of Standard • Checklist of requirements of the clause and related procedures • Benefits:

Checklist of requirements of the clause and related procedures Benefits:

Easier to organize

Clear scope

Smaller focus

Shorter audits

Drawbacks:

Focus on one process, not process interactions

May not measure compliance in different areas or departments

More audits

By Process or

Department

By Process or Department
By Process or Department

By Process or

Department

By Process or Department • Matrix of requirements that apply, related checklists and procedures • Benefits:

Matrix of requirements that apply, related checklists and procedures Benefits:

Process audit approach evaluates interaction of processes

Measure compliance of requirements in each area or process

Lower number of audits

Drawbacks:

More complex, must identify all requirements that apply in the area or to

the process (document control, records control, training )

..

More in-depth auditor training required

Longer audits

Auditor Training

Auditor Training • Internal auditors are responsible for verifying the effective implementation of the food safety

Internal auditors are responsible for verifying the effective implementation of the food safety management system.

Internal auditors must complete an internal auditor training course

• Internal auditors are responsible for verifying the effective implementation of the food safety management system.

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

Auditor Training

Auditor Training • Auditor training options: • Train your own audit team Effective when you have

Auditor training options:

Train your own audit team

Effective when you have an trained/experienced auditor

Attend onsite classes Two to three days classroom training offered by most certification bodies

Online classes 22000-Tools.com course: 6 Hours, on-demand, come and go as needed, includes interactive practice audit. Includes process approach.

Auditor Training

Auditor Training • Target a sufficient number of auditors to enable you to complete your audit

Target a sufficient number of auditors to enable you to complete your audit schedule on time.

Auditors should not audit their own work

Have enough auditors to give you flexibility in scheduling to allow for busy periods and special projects that may tie up some personnel

Companies may have from 5 to 15 trained auditors

Questions?

22000-Tools.com

800-746-3174

Questions? 22000-Tools.com 800-746-3174 • Feedback from our customers: • I have just completed the SQF Internal

Feedback from our customers:

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!”

“The Internal Audit Training is a very useful tool in our certification process. I am the second person to take the course from our facility and between both our studies the information is very beneficial to us. We now just have to fix a few minor non-conformances and we

should be certified with an A grade. The training as it was very useful for us. Thanks for assisting in the process. Have a Great Day

~Brock”

“The training was great! Thanks,”

Corey

“Thank you I am so thankful that your company is easy to work with!!! Have a great day!”

Anita

“We are moving forward with our SQF implementation using the Premium Package trainings and documents. We have top management directly involved and that is because of the information and structure your program provided.”

Jared