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
organizations 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?
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
Sales and Marketing
Production
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
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
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
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!
