introduction to internal audits
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7/18/2019 Introduction to Internal Audits
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Introduction to
Internal AuditsSteps and techniques
By www.22000-Tools.com
7/18/2019 Introduction to Internal Audits
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Internal Audits• Purpose
• Internal audits play a critical role inmaintaining and improing a!anagement System.
• "etermine i# the system is meetingrequirements
• Identi#y noncon#ormances
• "rie continuous improement
• !easure compliance with the documentedsystem
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Internal Auditors• Internal auditors are responsi$le #or eri#ying the
e%ectie implementation o# the #ood sa#ety management
system.• Internal auditors must complete an internal auditor
training course &See our 'nline Training at www.22000- Tools.com(
Auditors)
*ind o$+ectie eidence that the system is implemented ande%ectie
Identi#y noncon#ormances
,here the system is not implemented or operating as planned
,here the system does not meet requirements o# the standard
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Types o# Audits• In addition to internal audits there are 2and
and rd party audits. ach type o# audit
di%ers in purpose and #ocus.• rd Party Audits) an audit $y an independent
organi/ation with no stae in the managementsystem1 #or eample your certi3cation audit.
• 2and Party Audits) an outside company that
conducts an audit $ut has a relationship withthe organi/ation1 #or eample a supplier audit.
• Internal Audits) employees or contractors #oran organi/ation auditing #or the organi/ation.
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Internal Audits• *ocus on compliance to the
organi/ation4s documented #ood sa#ety
management system• Auditors will compare what is $eing done
to the documented policies1 proceduresand other *S!S documentation
•
Is the process done according to theplan5
• Are employees aware o#1 trained on and#ollowing the *S!S documentation andrequirements5
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Internal Audit or
Inspection5• !any companies hae 6!P inspections
or regularly scheduled inspections o#
Prerequisite programs.
• These di%er #rom audits $ecause)
• They are typically $ased on a standardcheclist that designed to loo at each
point indiidually and determine i# arequirement is $eing #ollowed
• Internal audits loo at the system andinclude the interaction o# processes
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The Audit Program• *irst1 an audit program must $e
planned and implemented. "esignate
responsi$ility #or an audit coordinatorthat will)
• !aintain the audit schedule
• Assign auditors
• Initiate audits
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Audit 7oordinator• The audit coordinator with wor with
management to identi#y how the audits will
$e organi/ed.• 'ne e%ectie method is to diide the #acility
into sections or departments #or auditing.
• *or eample)
• 8esearch and "eelopment
• Sales and !areting
• Production
• 9uality Assurance
• !anagement and Administration
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The Audit Schedule• Prepare an audit schedule. ach area
must $e audited at least one a year1
$ut #or an e%ectie program plan onauditing each area at least twice.
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The Audit Plan• Identi#y what
processes or
proceduresmust $e auditedin each area ordepartment.
• These will $eincluded in theaudit plan #orthe area.
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The Audit Plan• ,hen an internal audit is coming up on the
schedule1 the audit coordinator will determine how
much time and how many auditors are required.• Based on the status and importance1 as well as the
num$er o# procedures that apply to the area andmust $e included in the audit.
•
The amount o# time allotted has a direct e%ect on thescope and depth o# the audit.
• The auditor:s assigned must $e independent o# thearea $eing audited.
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The Audit Plan• 'nce your schedule
is complete it is time
to get ready #or your3rst audit.
• Prepare your auditplan $ased on the
processes andprocedures youidenti3ed.
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Audit Steps• Internal audit steps)
7reate audit schedule
7omplete audit plan
;old opening meeting
7onduct audit
"ocument *indings
Prepare audit report
;old closing meeting
Prepare audit 3le
*ollow up
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Per#orming the Audit• A#ter the opening meeting you will start
your audit.
• <sing your checlists and procedures asre#erences1 go out to o$sere the processand tal to people in the department
• =ou are looing #or eidence that the*ood Sa#ety !anagement System isworing e%ectiely
• An e%ectie audit will depend on youra$ility to put people at ease andencourage open honest communication
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>ey Auditor
Attri$utes• 7ommunication sills
• Tact#ul
A$ility to listen8eword questions when needed<se local terminology
• '$+ectie
• *lei$le
• Persistent
• 7urious
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Techniques• The auditee may $e stressed
• Smile1 rela
• Point out good things that you see
• Summari/e with ?erything loosgood here@ when you can
• As the auditor1 you are creating theaudit culture #or your organi/ation
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Techniques• <se open ended questions1 they
proide more in#ormation. As
• ,hat,here,hy,ho,hen
• As #or clari3cation or more in#ormationi# you do not understand.
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Techniques• >eep people in#ormed o# what you are
3nding
• Point out noncon#ormances as you go
• !ae sure the auditee understandswhat you see as the noncon#ormance
• There should not $e surprises at theclosing meeting when you present your3ndings
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Per#orming the Audit• As an auditor you will)
7hec documents and records
As questions
'$sere processes and compare themwith documented procedures and worinstructions
Inestigate any di%erences
*ollow audit trails1 $e curious
Tae good notes
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Per#orming the Audit• Throughout the audit1 you will tae
detailed notes on what you 3nd.
Be speci3c on what is reiewed andwhat is #ound
The in#ormation you write down will $eused to identi#y noncon#ormances andto assist the department in 3ndingand understanding what you o$sered
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"ocumenting the
Audit• 'nce you complete your audit1 you will prepare
an audit report and document any
noncon#ormances.
• The report will also include)
• 6eneral in#ormation
• "ocuments reiewed
• Persons interiewed
• 6eneral summary and assessment o# how thesystem is per#orming
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"ocumenting the
Audit• ,hen your documentation is
complete you will $e ready to hold
your closing meeting. The leadauditor will lead the meeting.
Than the group #or their cooperation
8emind them that this is an
ealuation o# the processes not thepeople
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The 7losing !eeting• Summari/e the 3ndings
;ighlight areas that are woring well
8eiew each o# the noncon#ormances1 allow questionsand discuss the 3nding to mae sure that the groupunderstands the noncon#ormances
"iscuss any correctie actions that you #ollowed up on
that were not #ound to $e e%ectie;ae the group sign the audit report as a record o#attendance
6ie a copy o# the ta$le o# noncon#ormances to thearea management
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The Audit *ile• *inal audit 3le includes)
Audit plan
Audit checlists
Audit report
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Summary• Internal Audits are one o# the most important pieces o# the
#ood sa#ety management system
• Implementing an e%ectie system will help ensure ane%ectie #ood sa#ety management system1 and success#ulcerti3cation audits
• Training o# the auditors is the ey to haing an e%ectieinternal audit program.
• Train your audit team with our interactie online trainingprogram. ach auditor will complete the practice audit anddeelop the sills and con3dence they need to ensure yourprogram is the $est it can $e. 'nline Internal Auditor Training)www.22000-Tools.com
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'nline Internal
Auditor Training $y
www.22000-Tools.com
• Aaila$le #or S9*1 B871 *SS7 22000 and IS' 22000
• 6et 3rst hand eperience with each step as you complete the course
eercises and per#orm an practice audit o# our 3ctional company!andys Canilla. <pon success#ul completion o# the 3nal test1 youwill $e a$le to print your certi3cate.
• "uring this audit you will hae access to the documents and recordsyou need to conduct an interactie audit o# !andys Canilla giing youpractice on audit plans1 preparing checlists1 questioning the sta% at
!andys1 reiewing records and procedures and identi#ying anddocumenting noncon#ormances.
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• 'ur course is aaila$le on-demand1 is approimately D-E hours long1 and can $e completed in multiple
sessions.
• Dear Cynthia,
• I have just completed the SQF Internal Auditor Training module online. I think this a greatcourse The scope o! the training is e"tensive and gives the trainee all the toolsnecessary to develop an e#ective internal auditing strategy. $hether you have an
e"isting program or are starting !rom scratch, this training %ill strengthen your program.• This online training module %as accepted &y our SQF Auditor to satis!y the Internal
Auditor training re'uirement. (ou can complete the modules at your o%n pace and practice as much as needed. It is the most cost e#ective %ay to get Internal Auditortraining. There are no travel or hotel costs making this a great %ay to train one person
or team o! internal auditors. Thanks !or putting together such a great training tool
'nline Internal
Auditor Training $y
www.22000-Tools.com
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