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Introduction to Internal Audits Steps and techniques
By Eng. Karam MalkawiCertified Lead Auditor, Trainer
Senior Quality ConsultantAmman-JORDAN
24/7 available via Mobile +962780777241 Email [email protected]
Purpose of Internal Audits Internal audits play a critical role in maintaining and improving a Management System.
• Determine if the system is meeting requirements
• Identify nonconformance.
• Drive continuous improvement
• Measure compliance with the documented system
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 before they start auditing activity
Auditors:
• Find objective evidence that the system is implemented and effective • Identify nonconformance. • Where the system is not implemented or operating as planned
• Where the system does not meet requirements of the standard
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.
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 Team for access to Auditor training
• Is the process done according to the plan? • Are employees aware of, trained on and following the FSMS.
Internal Audit or Inspection? Danny
Many companies have GMP inspections or regularly scheduled inspections for 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
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
Audit Coordinator
The Audit Schedule Prepare an audit schedule. Each area should be audited at least one a year, but for an effective program, plan on auditing each area at least twice.
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.
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.
Internal Audit Steps 1. Create audit schedule
2. Complete audit plan
3. Hold opening meeting
4. Conduct audit
5. Document Findings
6. Prepare audit report
7. Hold closing meeting
8. Prepare audit file
9. Follow up
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
Key Auditor Attributes Communication skills
• Tactful
• Ability to listen
• Reword questions when needed
• Use local terminology • Objective• Flexible • Persistent • Curious J
Techniques Remember that the auditee may be stressed. To help them relax so you get the information you need:
• 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
Techniques Use open ended questions, they provide more information. Ask
• What
• Where I like the example in the• Why • Who • When
Ask for clarification or more information if you do not understand. practices in operations, howto
interview
• Keep people informed of what you are finding the audit. Overall, it's a good• Point out nonconformance as you go introductory tool for learning techniques of internal
audit!”• Make sure the auditee
understands what you see as the ~Alice nonconformance
• There should not be surprises at the closing meeting when you present your findings.
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
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 nonconformance and to assist the
department in finding and understanding what you observed
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
The Closing Meeting Summarize the findings
Highlight areas that are working well Review each of the nonconformance, allow questions and discuss the finding to make sure
that the group understands the nonconformance 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 nonconformance to the area management
The Audit File Final audit file includes:
• Audit plan
• Audit checklists
• Audit report
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.
Please contact me for any assistance or projects at:
E-mail. [email protected]. +962 780777241I
