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    Example of An Internal Audit SOP

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    Veronica Sebald
    This document outlines the internal audit procedures for a company. It defines the responsibilities, frequency, and process for conducting internal audits of the company's food safety management system. Key aspects include the senior site manager overseeing audits, an audit program manager planning audits, operational managers addressing issues found, and internal auditors performing scheduled audits and reporting findings. The procedures describe assembling audit teams, planning audits, the audit process, documenting nonconformances, and verifying corrective actions.

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    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd

    Example of An Internal Audit SOP

    Uploaded by

    Veronica Sebald
    3K views3 pages
    This document outlines the internal audit procedures for a company. It defines the responsibilities, frequency, and process for conducting internal audits of the company's food safety management system. Key aspects include the senior site manager overseeing audits, an audit program manager planning audits, operational managers addressing issues found, and internal auditors performing scheduled audits and reporting findings. The procedures describe assembling audit teams, planning audits, the audit process, documenting nonconformances, and verifying corrective actions.

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    Example of an Internal Audit SOP

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    This document outlines the internal audit procedures for a company. It defines the responsibilities, frequency, and process for conducting internal audits of the company's food safety management system. Key aspects include the senior site manager overseeing audits, an audit program manager planning audits, operational managers addressing issues found, and internal auditors performing scheduled audits and reporting findings. The procedures describe assembling audit teams, planning audits, the audit process, documenting nonconformances, and verifying corrective actions.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    3K views3 pages

    Example of An Internal Audit SOP

    Uploaded by

    Veronica Sebald
    This document outlines the internal audit procedures for a company. It defines the responsibilities, frequency, and process for conducting internal audits of the company's food safety management system. Key aspects include the senior site manager overseeing audits, an audit program manager planning audits, operational managers addressing issues found, and internal auditors performing scheduled audits and reporting findings. The procedures describe assembling audit teams, planning audits, the audit process, documenting nonconformances, and verifying corrective actions.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
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    The key takeaways from the document are that it outlines the procedures for conducting internal audits at a company including responsibilities of roles, frequency of audits, audit standards, and the general audit process.

    The senior site manager is responsible for providing authority for audits, setting expectations, approving audit schedules, providing resources for training auditors, ensuring audit findings are reviewed and corrective actions are implemented, and ensuring root cause analysis and preventive actions are implemented to prevent non-conformances.

    Operational managers are responsible for providing resources to participate in audit activities, addressing non-conformances, investigating root causes and developing corrective actions as needed, and supporting the continual improvement process.

    Document IASOP 1001 v1 Internal Audit Procedures Page 1 of 3

    Company Name: Issued by: Date (dd/mm/yr) :


    Approved By: Supersedes (dd/mm/yr):
    Initialed:

    PURPOSE
    Define the responsibilities, actions and procedures used in managing and carrying out internal audits.
    The company shall establish and conduct a process of internal auditing to verify that all quality and food
    safety records and functions described in the Food Safety and Quality Policy Manual are conducted.

    SCOPE
    All internal audit activities of the food safety management system

    FREQUENCY
    Frequency of internal audit activities are described in the procedures

    RESPONSIBILITY
    Senior site manager: Provides authority for audits; sets expectations for operational personnel; approves
    audit schedule; provides resources for training auditors; ensures audit findings are reviewed and corrective
    actions are implemented; where necessary, ensures root cause analysis and preventive actions are
    implemented to prevent reoccurrence of non-conformance.
    Audit program manager: Develops and calibrates internal auditors; plans and schedules audits
    Operational managers: Provide resources to participate in audit activities; address non-conformances;
    investigate root cause and develop corrective actions as needed; support the continual improvement
    process.
    Internal auditors: Carry out thorough internal audits as scheduled against the prescribed standards;
    accurately report audit findings; support the implementation and continual improvement of the food safety
    system.

    PROCEDURES
    Audit Team
    Audit team members shall be selected based on established auditor characteristics, suitability and their
    knowledge and experience. The determination shall be made by the senior site manager and the audit
    program manager. An objective of selection shall be the development and maintenance of a multidisciplinary
    audit group.
    Audit team members shall be trained in principles and practices for internal auditing by a qualified individual
    with appropriate experience. Training may be conducted internally or by an external training service.
    Audit team members shall participate in required site specific training and calibration activities and shall be
    witnessed and calibrated by the audit program manager prior to auditing on their own.
    Each auditor’s performance shall be reviewed annually by the audit program manager.
    The number of auditors shall be appropriate so that auditors are independent of the function being audited.
    If necessary outside auditors may be employed to maintain independence.

    Audit Planning, Scheduling, Frequency and Assignment


    A schedule for the audit activities to be carried out over the course of the year shall be prepared by the audit
    program manager and approved by the senior site manager.

    This form is intended for instructional purposes only!


    Document IASOP 1001 v1 Internal Audit Procedures Page 2 of 3
    Company Name: Issued by: Date (dd/mm/yr) :
    Approved By: Supersedes (dd/mm/yr):
    Initialed:

    Audit assignments will be based on knowledge and experience and so that auditors are independent of the
    function being audited.
    The complete food safety management system shall be verified through internal audit at least annually
    The frequency of internal audit activities shall be based on risk assessment, regulatory and customer
    requirements and best audit practices. The frequency shall be re-assessed based on findings, problems and
    deviations by the audit program manager. Increased frequency may be required to verify that control of the
    system is being maintained.
    Internal audits shall be differentiated from GMP inspections.

    Audit Standards, Criteria and Checklist.


    The audit program manager shall ensure that a current checklist appropriate to the standards of the food
    safety management system shall be maintained and used by internal auditors.
    The assessment criteria shall be established, communicated and understood by auditors and all
    stakeholders of the food safety management system audits.

    General Audit Process


    • Contact the department(s) where audit(s) are to be conducted one to two weeks ahead and determine a
    date and time frame for the audit.
    • Communicate which activities will be undertaken (record review, observation, systems challenge,
    interview etc), which people will be required and for how long they will be needed.
    • Prior to visiting the department conduct document review.
    o Review previous audit non-conformances and planned and verified corrective and preventive
    actions
    o Read and review all policies, procedures, work instructions, forms and other documents relevant
    to the audit.
    o Review for accuracy, relevance and for clarity and note any changes or opportunities for
    improvement.
    o Review records if appropriate to do so.
    • Audit in the department.
    o Meet with department head and audit participants and briefly
    o Review the purpose and scope of audit
    o Review the previous non conformance
    o Communicate any issues found in the document review and determine if any issues found are
    agreed by the department.
    o Conduct the audit activities and gather the objective evidence.
    o Communicate findings and assessment to participants as they are found. If not present during
    the audit, meet with the department head at the end of the audit to review the audit and the
    findings
    • Post Audit activities
    • Document the objective evidence and any non-conformances found during the audit and record on the
    checklist.

    This form is intended for instructional purposes only!


    Document IASOP 1001 v1 Internal Audit Procedures Page 3 of 3
    Company Name: Issued by: Date (dd/mm/yr) :
    Approved By: Supersedes (dd/mm/yr):
    Initialed:

    • Copy the completed checklist with non-conformances to the department head and audit manager.
    • Enter the non-conformances into the CAPA tracking system.*
    • Verify corrective and preventive action. Monitor the completion of corrective and preventive action for
    areas audited. Schedule a verification activity once corrective action is complete to determine the
    completeness and effectiveness of the actions
    * Responsibility and targets for completion of corrective and preventive actions are determined by the
    department manager and/or discussed, determined and agreed to during operational meetings.

    Deviation And Corrective Action


    Missed scheduled audits or missed deadlines for corrective action shall be reported during operations
    meeting and corrective action established to establish conformance. This may require:
    • Additional resources.
    • Review of capability and capacity
    • Changes to schedules and targets

    Verification
    The audit program manager shall prepare a quarterly report for the senior site manager to report on the
    completion and effectiveness of the internal audit program and CAPA progress.

    Records
    • Audit reports
    • CAPA tracking System
    • Deviation and Corrective Action Records
    • Quarterly Management Report

    This form is intended for instructional purposes only!

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