Internal Audits - Part 2 of 2

In part one; I talked about what needs to be audited and about a few of the basics around auditing.  In part two, I will talk about some of the specific areas to look at during auditing and what makes a good auditor.

What makes a good Auditor?

In short, an auditor needs to be observant and have integrity.  Being observant means to be equipped with the proper tools such as a flashlight, mirror, knee pads, or any other tool that may be needed.  Personally; I like to think like an auditor.  If I think an auditor would use a ladder to look at refrigeration coils - I would use a ladder to inspect these coils myself.  A good rule is to think like an auditor before an auditor arrives.  Persistence and ability to deal with conflict are other traits that will be needed.  Let's face it, internal auditors will need to observe and measure what their friends and coworkers are doing - this will definitely setup conflicts.  No-one likes being watched and graded!

Lastly the auditor needs to be familiar with the general operation of the facility and be knowledgeable on the principles involved with the system / program / or element that is being audited.  Yes, auditors needed to be trained and the training needs to be refreshed every year as per SQF ????? and BRC section????.  SQF section 2.5.7.2 states that it would be ideal to have the auditors performing the checks on an area that is not part of their normal responsibilities or job duties.

Audit List Considerations

In general, HACCP, pre-requisite programs, and other regulations (organic, Kosher, etc.) need to be considered.

· CCPs (Critical Control Points) and QCPs (Quality Control Points) consider;

• Are the process flow Diagrams correct?
• Monitoring methods and frequencies adhered to
• Records being kept and legible (no pencil or white out) - signed, dated, completed
• Calibrations and records being completed - on schedule
• Review any recent corrective actions and are they completed

· Personnel

• Hygiene and cleanliness of the staff
• Rules on clothing are being adhered to
• Protective clothing and hair restraints being worn
• Signage is visible and appropriate
• Common areas are clean - including the inside of lunch fridges and microwaves
• Personal items are not worn - jewelry, cell phones, etc.

             · Visitors

• Signed in and wearing badges
• Have read and signed the policies and procedures that are required

· Chemicals and Storage

• Storage secured and lockable - is the lock being used
• Staff is trained
• Signage and handling instructions available
• W.H.I.M.I.S. and M.S.D.S up-to-date
• Transfer vessel cleanliness and condition
• Usage and inventory logs up-to-date
• Chemicals properly / legibly labelled
• Food grade chemicals and lubricants separated from non-food grade
• Hand/foot dips and hand sanitizers being used, monitored and maintained

· Toilets and Hand washing areas

• Clean and sanitary
• Warm water and soap available
• Paper towels and trash can available

· Cleaning and Sanitation Program

• Master sanitation schedule maintained, current, and followed
• Procedures available and being followed
• Cleaning material and equipment clean and properly stored
• Correct clothing being worn
• All materials are appropriate for the job
• Verifications being completed and recorded

· Pest Control

• Technician has a current liscence
• Maps are current
• Traps are clean, numbered, functional, and in their proper places.
• Service records and corrective actions are completed
• M.S.D.S sheets and technician licence up-to-date
• Bird control documented

· Other Areas for auditing

• Production area
• Storage area
• Shipping and receiving
• Maintenance workshop
• Exterior surroundings
• Record security
• Allergen program
• Foreign material
• Food Defence and Security

I am sure that this is not an exhaustive list and I could continue for a lot longer.  However, I think you get what is needed.  As a last note - make sure that all audits are recorded in writing and all corrective actions are completed on time.