Setting up an

Internal Audit
Program
By www.22000-Tools.com
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
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.
Internal Audits
Focus on compliance to the organizations 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?
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
Requirements
SQF FSSC 22000 BRC
The methods and The organization There shall be a
responsibility for shall conduct planed program of
scheduling and internal audits at internal audits
conducting internal planned intervals.
The scope and
audits shall be
An audit program frequency of the
documented and
shall be planned audits shall be
implemented
established
The audit criteria,
scope, frequency,
and methods shall
be defined
Requirements
Audit schedule
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
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.
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
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
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
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
Audit Information
Scope
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
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
By Clause of Standard
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
By Process or
Department
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
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
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
22000-Tools.com course: 6 Hours, on-demand, come and go as
needed, includes interactive practice audit. Includes process
approach.
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
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
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This online training module was accepted by our SQF Auditor to satisfy the Internal Auditor training requirement. You can complete the
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great training tool!

The Internal Audit Training is a very useful tool in our certification process. I am the second person to take the course from our facility
and between both our studies the information is very beneficial to us. We now just have to fix a few minor non-conformances and we
should be certified with an A grade. The training as it was very useful for us. Thanks for assisting in the process. Have a Great Day
~Brock

The training was great! Thanks,

Corey
Thank you I am so thankful that your company is easy to work with!!! Have a great day!
Anita
We are moving forward with our SQF implementation using the Premium Package trainings and documents. We have top
management directly involved and that is because of the information and structure your program provided.
Jared