1. Setting up an Internal Audit Program
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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 Trained internal auditors
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 Good audit tools
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 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 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.com 800-746-3174
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!”
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