The document discusses internal audits of a food safety management system. It describes the purpose of internal audits to determine compliance and identify areas for improvement. Internal auditors must be trained and verify effective implementation of the system. The audit program includes planning audits, assigning auditors, conducting audits, documenting findings, and following up on corrective actions. Key aspects of performing audits are outlined such as observing processes, reviewing documentation, and identifying any nonconformances.

1. Introduction to
Internal Audits
Steps and techniques
By www.22000-Tools.com

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 www.22000-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: www.22000-Tools.com

26. Online Internal Auditor
Training by www.22000-Tools.com
• Available for SQF, BRC, FSSC 22000 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'sVanilla". 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'sVanilla giving you practice on audit plans,
preparing checklists, questioning the staff at Mandy's, reviewing records and procedures
and identifying and documenting nonconformances.

27. • 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 AuditorTraining 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!
Online Internal Auditor
Training by www.22000-Tools.com