1. Introduction to Internal Audits
Testing the note function
Steps and techniques By

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 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
Tactful Ability to listen Reword questions when needed Use 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
What Where Why Who When
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:

26. Online Internal Auditor Training by www.22000-Tools.com
Available for SQF, BRC, FSSC 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!