Setting up an Internal Audit Program

1. Setting up an Internal Audit Program • By www.22000-Tools.com

2. Internal Audits • 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

3. Other Types of Audits • 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.

4. 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?

5. 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

6. Requirements • SQF • The methods and responsibility for scheduling and conducting internal audits shall be documented and implemented FSSC 22000 • 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 BRC • There shall be a planed program of internal audits • The scope and frequency of the audits shall be established

7. Requirements • 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

8. Internal Audits • 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.

9. Internal Audits • 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

10. Management Commitment • 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

11. The Audit Schedule • 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

12. Audit Coordinator • 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

13. Audit Information • 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

14. Audit Scope • Defining the scope of the audit: • Clause of the Standard • Management Commitment, Document Control • Process, department or area of the facility • Bottling, Warehousing, Maintenance

15. By Clause of Standard

16. By Clause of Standard • 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

17. By Process or Department

18. By Process or Department • 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

19. Auditor Training • Internal auditors are responsible for verifying the effective implementation of the food safety management system. • Internal auditors must complete an internal auditor training course • 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

20. Auditor Training • Auditor training options: • Train your own audit teamEffective when you have an trained/experienced auditor • Attend onsite classesTwo to three days classroom training offered by most certification bodies • Online classes22000-Tools.com course: 6 Hours, on-demand, come and go as needed, includes interactive practice audit. Includes process approach.

21. Auditor Training • 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

22. Questions?22000-Tools.com800-746-3174 • 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