An Introduction to Internal Audits

Transcription

1 An BRC Global Standards. Trust in Quality

2 Internal Audits (Section 3.4 excluding 3.4.4) An internal audit is any audit completed by or on behalf of the company, rather than conducted by a second or third party. For example, a company with a commercial interest e.g. a supplier audit, or an independent organisation such as a Certification Body. Effective internal audits are vital to your business as they enable a site to demonstrate whether control systems are working correctly and effectively, and help you identify areas for improvement. Senior management should therefore consider internal audits as critical to the business s operation..0 Requirements of the BRC Global Standard for Food Safety The Standard defines an audit as a systematic examination to substantiate whether activities and related results comply with planned arrangements and whether these arrangements are implemented effectively and are suitable to achieve objectives. In section 3.4 of the BRC Global Standard for Food Safety it states: The company shall be able to demonstrate it verifies the effective application of the food safety plan and the implementation of the requirements of the Global Standard for Food Safety. This shall be achieved by means of a planned internal audit programme. So your internal audit should have two aims: To ensure the inspected systems are adequately designed to meet the requirements of the BRC Standard i.e. has your company identified the correct things to do to meet the Standard. To ensure your staff are completing the procedures correctly in line with the documented system. Therefore, the scope of the internal audit program must cover all areas of food safety and quality systems, including all the requirements of the BRC Standard, for example, implementation of the HACCP programme, prerequisite programs and procedures and cover both the systems in place and work practices. 2.0 Planning for effective internal audits our internal audit schedule should be prepared in advance so that different areas or activities are scheduled throughout the year. A single internal audit of all areas on a single day is not recommended. See Appendix for an example of an internal audit plan. It includes areas that need auditing along with a proposed schedule for completion. The example also highlights that the frequency of internal audits may vary, with activities in key areas such as hygiene, good manufacturing practice, foreign body risks and critical control points (CCPs) needing to be audited more frequently than those in some other areas. How often an area is audited may be influenced by risk, known issues within the company, best practice or customer requirements. However, all activities should be covered at least once a year. 3.0 What s included in the audit and who should carry it out? An internal audit should examine the process or activity in detail and will usually include: Observing how activities are completed 28/8/203 Page of 6

3 Asking relevant staff how an activity is completed or why it s completed in a specific way Reviewing procedures and records to confirm whether the activity has been completed and recorded correctly Internal auditors must be independent of the process being audited. For example, it s not acceptable for workers on one shift to audit workers on another shift, if they re completing the same work. This is to ensure that the audit is rigorous and thorough. Also it s easier for an auditor to identify corrections or improvements if he or she is not biased or influenced by an in-depth knowledge of that area. External auditors can be used if required or preferred. Auditing is an acquired skill and auditors need to be trained to ensure they are carrying out the function effectively. Training shall include auditing skills, as well as relevant technical knowledge for the area being audited. 4.0 Completing effective audit reports The use of a checklist or tick list is unlikely to achieve the level of detail required for an internal audit as evidence of the audit must be documented in a report that contains details of conformity as well as non-conformity. Where a non-conformity is identified, it s important that corrective action is completed. The corrective action and the timescales for completion should be agreed by the auditor and the relevant area manager, and documented on the audit report. The auditor will also record when the action is satisfactorily completed. Appendix 2 shows an example of a completed audit report. 5.0 Further Information The BRC has published a Best Practice Guideline to Internal Audits that can be obtained from Quick Tips Schedule the whole year of internal audits based on risk assessment Ensure all areas of the food safety and quality management system are included Ensure that there are sufficient, trained, internal auditors Don t assume auditors can just squeeze an audit in. Sufficient time must be made available Set a format or template to ensure consistent records Ensure auditors are independent of the areas being audited Don t try to complete all the audits at one time e.g. all on one day or within one week. Use a risk based schedule These short guides are designed for companies involved in the enrolment program and aim to help you interpret the Standard, and design robust systems and procedures that meet the requirements. Examples are given to explain the types of documents and procedures and the level of detail typically required. However, you ll need to consider the context relevant to your business. The implementation of the Standard, and whether a resulting system is considered to be conforming or non-conforming by an auditor, is an objective judgement which can only be based on the evidence collected and observations made during the audit. Further details regarding the BRC Global Standard for Food Safety can be obtained from enquiries@brcglobalstandards.com 28/8/203 Page 2 of 6

4 Appendix Example of an Internal Audit Schedule Method Frequency Auditor Jan Feb Mar Apr May Jun Jul Aug Sept Oct Nov Dec HACCP - Review process - Check all products & processes included - Review actions from HACCP team meeting Management Review - Action points from previous meeting - Schedule Approved Suppliers - Procedures - Supplier register - Monitoring records 2 Raw Material Specifications Traceability - Review records - Complete & up to date documentation eg risk assessments - Certificates & test reports - Forward & Backward traceability exercise & associated paperwork 2 Complaints - Overview of system - Investigations & subsequent actions - Trend analysis 3 Pest Control - Documentation eg contract, procedures, records - Corrective actions Production - Records - CCPs - Document Control - Changeovers - Calibration 28/8/203 Page 3 of 6

5 Appendix 2 Example of an Internal Audit Report Area Requirement: Control of Non-Conforming Product Date: 4 February 3 Auditor: A Checker BRC Requirement Site Policy Evidence Complies The company shall ensure that any out of specification product is effectively managed to prevent release. Documented procedures for identification, storage, referral to brand owner, responsibilities for decision making & disposal of products. Procedure QM & form QRec All non-conformities trended for inclusion in management review meetings (log reviewed and management report for /9/2) Waste disposal records checked (Sept Dec2) against records of non-conformities disposal of outer packaging on //2 unaccounted for. Procedure QM - specifies all requirements non-conforming products are stored in identified area and labelled on hold, reject or QC pass. Form to be completed and attached, with copy sent to specified management. Sign off approved staff only. Form QRec for recording information Procedure QM version 3 dated /2/3 in use. Records for Aug 2 Dec 2 checked and indicated correct sign off. Random staff check on staff numbers 94, 57 & 96 queried what they should do with incorrectly baked product. N N Records of the decision on use or disposal and records of destruction where product is destroyed for food safety reasons. Form QRec for recording information Records comply with disposals instructions. One pallet of product (failed customer quality checks) segregated for disposal, correctly labelled and authorised for disposal. Records for 2//3 reviewed correctly completed. Non-conformities Identified: Non-Conformity Action Responsibility Due By Verified as Complete Staff numbers 57 & 96 were unclear of procedure Retraining to be completed against QM Production Manager 2/2/3 A Checker 22/2/3 Waste disposal records checked (Sept Dec2) against records of non-conformities disposal of outer packaging on //2 unaccounted for. Investigate cause and introduce corrective action. Ensure staff aware of procedure. Production Manager 24/2/3 A Checker 25/2/3 28/8/203 Page 4 of 6

6 Notes 28/8/203 Page 5 of 6

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