introduction to internal audits

7/18/2019 Introduction to Internal Audits

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Introduction to

Internal AuditsSteps and techniques

By www.22000-Tools.com



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



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



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.



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



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



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



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



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.



The Audit Plan• Identi#y what

processes or

proceduresmust $e auditedin each area ordepartment.

• These will $eincluded in theaudit plan #orthe area.



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.



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.



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



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



>ey Auditor

Attri$utes• 7ommunication sills

• Tact#ul

A$ility to listen8eword questions when needed<se local terminology

• '$+ectie

• *lei$le

• Persistent

• 7urious



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



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.



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



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



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



"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



"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



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



The Audit *ile• *inal audit 3le includes)

Audit plan

Audit checlists

Audit report



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



'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.



• '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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