DBFS IA Course Notes

8/22/2022
Internal Auditor
Delivered by:
Course Outlines - Agenda

 Introduction to auditing and inspection
 A brief intro to BRCGS Food Safety standard
 When/why we audit and different types of audit
 Preparing to audit and checklist preparation
 Auditor skills and attributes
 Conducting the audit and Reporting the non-conformances or findings
 Preparing an audit report
 Recap and practice
Course Objectives
By the end of the

course you will
be able to:
 Understand the audit and inspection process
 Be aware of the auditor skills and tools
 Be able to prepare checklists and questions
 Be able to carry out effective internal audits
1
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Section 1
Definition
What is a Process
Input PROCESS Output

(set of interrelated or
interacting activities which transforms
inputs into outputs)
Resources
(to enable transformation to occur)
1. Definition
Key elements of a Process
• People
• Equipment
• Materials
• Information
• Work Environment
1. Definition
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What is an Audit
BRCGS Food Safety issue 9 definition:
ISO 9000 : 2005 definition

A systematic, independent and documented process for obtaining objective
evidence and evaluating it objectively to determine the extent to which the
audit criteria are fulfilled.
1. Definition
What is an Audit
set of requirements used as a
An Audit reference against which objective
evidence is compared
systematic, independent and
documented process for obtaining
Audit audit evidence and evaluating it
objectively to determine the extent
evidence to which the audit criteria are
fulfilled
records, statements of fact or
Audit other information which are
criteria relevant to the audit criteria and
verifiable
1. Definition
What is an Audit Process?
1. Definition
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Key areas to audit within a process

List the key areas to audit within a process
Work
People Equipment Materials Information
Environment
1. Definition
10
Key areas to audit within a process

List the key areas to audit within a process
Key areas an auditor should be looking for when auditing these
elements within a process
1. Definition
11
What is a Food Safety Audit
- Centered on the defined requirements set out in food safety

standards, legislation and company QMS
- It focuses specifically to the safe production and the supply of

food products
- It provides information upon which the food business can act

to improve its performance
- Requires knowledge in different fields (i.e. management

processes, hygiene, risk assessments, HR, H&S, microbiology,
chemistry, engineering etc.)
1. Definition
12
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What is an Inspection
BRCGS Food Safety issue 9 definition:
In simpler terms:
Comparing systems and practice with standards and procedures, to establish
compliance and highlight non-compliance.
1. Definition
13
Audit vs Inspection
Inspections are a “do” and audits are a “check”.
An inspection is typically something that a site is

required to do by a compliance obligation.
An audit is the process of checking that compliance

obligations have been met, including that the required
inspections have been done.
1. Definition
14
Examples of Audits and Inspections
1. Definition
15
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BRCGS FS i9
1. Definition
16
Why auditing is important
• Evaluate the effectiveness of the

organisation management system
• To comply with the BRCGS Standard (and
other GFSI benchmarked Standards),
contract obligation and legal compliance
• An effective method for involvement and
motivation of personnel to identify potential
problems
• Continuous process of improvements
• Identify potential issues before they occur
1. Definition
17
Section 2
BRCGS FS General
18
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Heritage of the BRCGS Global Standards

Pre 1996 • Brand owners inspect their own suppliers
1998 • Brand owners join to create a common Standard

for Food
2000 • First Standard approved by the GFSI
2015 • BRCGS Standard for Packaging and Packaging

Materials Issue 5 published
• BRCGS Standard for Storage and Distribution
2016 Issue 3, Consumer Products Issue 4 and Retail
Issue 1 published
2017 • BRCGS Standard for Agents and Brokers Issue 2

published
2018 • BRCGS Standard for Food Safety Issue 8
2. BRCGS FS - General
19
Food Safety Standard
20
Food Safety Standard

The Standard has been developed to take a common
sense approach towards achieving certification, by
covering the following requirements:
• Senior management commitment

• The food safety plan - HACCP
• Food safety and quality management systems
• Site standards
• Product control
• Process control
• Personnel
• High-risk, high-care and ambient high-care
production risk zones
• Requirements for traded products
21
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Format of the Standard
PART I
Introduction
PART II
Requirements
PART III
Audit Protocol
PART IV
Operation and Governance of the Scheme
Appendices
22
Fundamental requirements
Within the Standard certain requirements have been designated as crucial to the
establishment and operation of an effective food quality and safety operation:
• Senior management commitment and continual improvement (1.1)
• The food safety plan – HACCP (2)
• Internal audits (3.4)
• Management of suppliers of raw materials and packaging (3.5.1)
• Corrective and preventive actions (3.7)
• Traceability (3.9)
• Layout, product flow and segregation (4.3)
• Housekeeping and hygiene (4.11)
• Management of allergens (5.3)
• Control of operations (6.1)
• Labelling and pack control (6.2)
• Training: raw material handling, preparation, processing, packing and
storage areas (7.1)
23
Statement of Intent (SOI)
SOI
Clause
The Statement of intent sets out the expected outcome

of compliance with the particular clauses.
All sites must comply with the SOI.
24
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“Shall” vs “May”
Shall Criteria MUST be included within a policy or procedure.
May Guidance for incorporations in company policies and

procedure.
25
Other points to note
▪ Term “Appropriate”
▪ Documented procedures
▪ Validation
▪ Verification
▪ Monitoring
▪ Annual frequency
26
Colour coding
Production processes represent the key activity on site and auditing

these areas forms a significant proportion of the audit. As an aid to this
process, the requirements of the Standard have been colour-coded.
27
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Colour coding
28
Section 3
Audit Types
29
What can we audit
- Companies own QMS

 Quality manual
 Procedures
 Policies
 Work instructions
 Records
- Group standard
- Customers standard
- GSFI or ISO standards
- Legislation
3. Audit Types
30
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When can we audit
1. If there are any changes to factory/plant or processes
2. In response to customer complaints or identifications of internal failures
3. To meet and satisfy requirements of the internal audit schedule
3. Audit Types
31
Why should we audit
Audits are an important part of confirming compliance:

– It provides information to the management team to enable them to take the right
decisions
– It can identify improvements, define responsibilities and drive completion of action

points within agreed timescales
Auditing is a tool to decide if the business is producing safe food:

– Are we doing the right things?
– Are we doing what we say we are doing?
3. Audit Types
32
How do we audit
IA EA EA EEA
3. Audit Types
33
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How do we audit
AUDIT
3. Audit Types
34
Other audit types
Systems Check against a set pf procedures, products,

areas etc.
Compliance Are systems being followed
Investigative Specific (ie customer complaints, RCAs)
Full audit All activities of the company, operation or

business
Partial audit Only selected / relevant activities or areas are
included in the audit
Desktop / Remote Limited to the examination of documents, away
from site, or online
Gap audit (not GAP) Preliminary audit to determine compliance
against a certain standard
3. Audit Types
35
Section 4
Audit Preparation
36
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Internal audit process

(Extract from ‘Best practice Guideline: Internal Audit’ – Figure 1)
Identify audit requirements Agree non-conformities and

Agree audit scope responsibility and timescale for
and prepare checklist
corrective action
Establish audit timing Verify and document corrective

Develop audit schedule
– when it will be carried out actions as effectively completed
through risk assessment
– how long it will take
Collect and document objective Communication to senior

Identify auditor who is appropriately
evidence recording conformity as management of audit findings
trained and independent well as non-conformity for review
4. Audit Preparation
37
Audit Planning
Preparing an audit schedule

Audit scope
Preparing an audit checklist
Pre notification
38
Audit Schedule 1 = Audit Scheduled

2 = Audit undertaken
3 = Audit Closed Out (only to be added
when all nonconformities from the audit
have been closed out)
Procedure/ Process/ Policy Ref Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Auditor
HACCP/ HARA 3 2 J. Smith
Traceability 3 2 A. Wilson
Labelling 3 2 A. Wilson
Senior Management
1 J. Smith
Commitment
Internal Audits 1 A. Wilson
Supplier Approval 1 C. Scott
Control of Non-conforming
1 A. Wilson
Product
Allergen Management 3 2 C. Scott
Document Control 1 J. Smith
39
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Audit Schedule
40
Audit Scope
What do you The extent and

understand to be boundaries of the
the audit scope? audit
41
Audit Planning
Audit Objective – To evaluate the effectiveness of the Purchasing Process Audit Criteria – Purchase Process 123 v3
Department/Scope - Purchasing – HQ Main office

Audit Start Date/Time: 03/xx/xx 09.00 Auditor: J Bloggs
Audit Finish Date/Time: 03/xx/xx 15.00
Feedback (Closing Meeting) 03/xx/xx 14.30

Department Representatives: Mrs Purchasing Manager
Purchasing Assistant(s)
Miss Operations Manager
Date Time Auditor Area/Process
03/xx/x 09:00 J Bloggs Opening meeting

x
09:30 J Bloggs Mrs Purchasing Manager – Department Objectives
11:00 J Bloggs Mrs Purchasing Manager - Type and extend of control
11:30 J Bloggs Coffee Break
11:45 J Bloggs Miss Operations Manager – Communication with Purchasing
12:15 J Bloggs Lunch
13:15 J Bloggs Mrs Purchasing Manager – Review historical documents to test system, follow up audit
trails.
14:30 J Bloggs Closing meeting
15:00 J Bloggs Finish
Signed by Auditor: Accepted by Auditee:

Form No 1 - Issue 1/September 20xx
42
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Audit Checklist
The contents of the

checklist is determined
by the audit criteria
Audit ref: Date: Auditor:
Procedure: Area:
Ref Requirement/ Evidence Non Auditee
question Conformity/
Observation
43
Audit Checklist
44
Audit pre-notification
This should outline:

• Auditor
• Audit date and time
• Audit scope
• Personnel
• Documents
• Confirmation
45
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RECAP - Preparing for an audit
An audit is about gaining information
Information can be obtained in a number of ways:
1. Speaking to people (interviews)
2. Document/record review
3. Observations of activities and conditions
46
RECAP - Preparing for an audit
Plan ahead:
1. What/where is it that you are auditing?
2. Who/what needs to be audited?
3. What extra documents/processes do you think may need

to be checked in this area (e.g training records, production paperwork)
4. Have you familiarised yourself with the audit template?
5. Book in the audit with the auditee.
47
Section 5
Auditor skills and

attributes
48
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Auditor Desirable Qualities
 Good Communication skills  Tact & Diplomacy

 Objectivity  Patience
 Open mindedness  Maturity
 Analytical  Tenacity
 Good Judgment  Self Motivation
 Presence  Polite & Friendly
 Helpful & Constructive  Neutral
 Informative  Focussed
 Perceptive  Honest
5. Auditor skills and attributes
49
Auditor Competencies (GFSI)
Communicate with all operational levels in

the auditee food business
Assess non-verbal communications
Discuss audit findings openly and honestly
Present audit findings to auditee and

management clearly, concisely and
objectively
Cite the evidence for non-conformities
50
Auditor Competencies (GFSI)

Establish a working relationship with the auditee that
supports the intent and objectives of the food safety
audit
Maintain objectivity during the audit process
Maintain auditee confidentiality
Maintain composure; avoid arrogance, anger or other

negative behaviours
Recognise a conflict of interest
51
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Communication
Sound and tone

of your speech
Style of your
Body language
speech
Facial Listen, hear &

expression understand
52
Communication
What does the auditor need to do?
Establish a
Give a good Communicate
Explain the positive Explain
first with all levels
audit working findings
impression of staff
relationship
53
Auditor Attributes
Auditors should possess the

knowledge and skills
necessary to achieve the
audit objectives, such as:
• Generic knowledge and
skills
• Discipline & sector
specific knowledge & skills
54
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Auditor Attributes
▪ Knowledge of the
requirements relating to
the areas being audited
e.g. Standard or process
▪ Full understanding of the
process*
Knowledge ▪ Awareness of company

policy*
▪ Awareness of company*
procedures
▪ Knowledge of the law*
▪ * As it relates to the areas that you are
auditing
55
Auditor Attributes
Support and
Authorisation commitment of senior
management
56
Auditor Attributes
▪ Mature and open minded

▪ Sound judgement
▪ Analytical and technical
skills
Integrity
▪ Understand complex
issues
▪ Ability to perceive
situations realistically
57
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Auditor Attributes
▪ Ethical
▪ Tactful
▪ Observant
Professional
▪ Courage of conviction
▪ Adaptable
▪ Culturally sensitive
58
Body Language - Nervous
• Body produces adrenaline –

‘fight or flight’ response
• Looking down
• Dry throat
• Sweating
• Fidgeting with hands or hair
• Foot tapping
59
Body Language - Confident
• Eye contact (2-3 seconds)

• Standing tall and straight
• Smiling
• Firm handshake (Western
cultures)
• Authoritative voice
• Taking the lead
5. Audit Style and Approach
60
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Body Language - Aggressive
• Pointing or jabbing a finger at

you
• Standing too close
• Red face
• Prolonged eye contact
• Muscle tension – clenched fists,
frowning, shaking
• Banging or kicking things
61
Body Language – How can you respond?
• Explain that you are • Beware - don’t let • Explain the importance of
not auditing people, them lead the audit! the audit and their co-
but the site • Stay in control and operation
• Inform them of what check your list • Be patient but firm in
you are doing • Stop them talking handling difficult
• Ask an open when necessary situations
question to get them • If it is a manager, refer
talking them to senior
management commitment
• Interview another person if
auditee is difficult (if
possible)
Nervousness Confidence Aggression
62
Auditor requirements
Work
experience
Audit
Qualifications
training
Product
Education category
competence
63
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Section 6
Conducting the audit
64
Audit layout
Audit tools
Dealing
Objective
evidence with a
non conformity
Opening Conducting Closing

meeting the audit meeting
6. Conducting the Audit
65
Opening Meeting
What topics do you think an opening

meeting agenda should cover?
Opening meeting agenda:
– Audit scope
– Availability
– How the audit will be reported
– Importance of the audit
66
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Objective Evidence
How can you get objective evidence during an audit?
Observing processes
Is information Interviewing personnel

based on facts
that can be
Reviewing documents
proved through:
Analysing data
67
Objective Evidence
Company policy
Objective
evidence is used Company procedure
to demonstrate
when the following Legislation
have been
contravened or Standards
met:
Customer requirements
68
Interviewing personnel
“Open Questions”
used to assess
general
understanding
“Challenging & Probing

Questions” used to
evaluate compliance on
critical issues
“Summarising & Closed

Questions” used to
confirm auditors
understanding
69
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Communication and listening

Do not ask too
many questions at
once
Ask for clarification

where the Maintain good eye
information given is contact
unclear
Use ‘pregnant
Smile and look
pauses’ to extract
interested
more information
Give the auditee

enough time to
answer your
questions
70
Audit Tools
• Make appropriate eye contact

• Look interested
Listening •
•
Short pause to extract more information
Give the interviewee time to answer
• Checks working practice is the same as

the documented procedure
Observing • Provides a better understanding of the

standards being worked to
• Identifies areas for further investigation
71
Key principles of Auditing
Review Check Challenge
72
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RECAP - Audit Objectives
Auditing is the ‘Checking’ and ‘Acting’
– It provides information to the management team to enable them to take the

right decisions
– It can identify improvements, define responsibilities and drive completion of

action points within agreed timescales
Auditing is asking
– Are we doing the right things?
– Are we doing what we say we are doing?
73
RECAP - Audit approach
1. Be objective
2. Be thorough, detailed and ask questions
3. Ensure the reply gives an answer to the question
4. Highlight areas where there is room for improvement

through Non conformances or recommendations
(dependent on scale)
5. Don’t be afraid to challenge
74
ASK LOOK /
LISTEN
Audit
Loop
RECORD CHECK
75
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Section 7
Raising Non-conformities
76
What is a non-conformity?
the non-fulfillment of a specified product

safety, legal or quality requirement or a
specified system requirement
BRCGS
a non-fulfillment of a requirement
EN BS ISO 2011:2018
7. Raising NCs
77
NC Classification
• Where there is a • Where there is a • Where a clause
critical failure to substantial failure to has not been fully
comply with a meet the requirements of met but, on the
food safety or a ‘statement of intent’ or basis of objective
legal issue any clause of the evidence, the
Standard or a situation is conformity of the
identified which would, product is not in
on the basis of available doubt
objective evidence, raise
significant doubt as to
the conformity of the
product being supplied
Critical Major Minor
7. Raising NCs
78
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NC Classification
Critical Major
Minor
7. Raising NCs
79
Dealing with NCs
7. Raising NCs
80
Dealing with NCs
• Undertake corrective action to remedy

the immediate issue
• Undertake analysis of the underlying
cause of the non-conformity (root cause)
The site • Develop a preventative action plan to
address the root cause and prevent
should recurrence
7. Raising NCs
81
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Dealing with NCs
When highlighting any non conformances, do so:
• Politely
• With no criticism of person or system
• Give the personnel being audited an opportunity to put their point
of view
• Emphasize on the fact that the site needs to find the root cause and
possible preventive actions
• Ensure acknowledgement of the finding understood
• Collect all necessary information for writing out the finding that has
objective evidence linked to it
7. Raising NCs
82
Preparing Closing meeting

Inform the auditee the audit is completed
Arrange a time to undertake the closing meeting
Find a quiet area to review your checklist
Identify the non-conformities you intend to raise
Summary of your audit findings
7. Raising NCs
83
Closing meeting
Confirm area covered by the
audit
Provide overview of positive

points raised during the audit
Read out non-conformities

(where appropriate)
Agree timescales for corrective

action
7. Raising NCs
84
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Section 8
Audit Report
85
Audit Report
What do you expect to be included in the audit report?
8. Audit Report
86
Audit Report
Audit Ref: Auditor: Date:
Auditee: Procedure:
1. Reason for Audit:
2. Audit Findings Summary:

(To include general statement, positive points and areas for improvement where appropriate)
3. Details of Non Conformities

Ref Detail Cat Corrective and Preventive Action Resp. Person Comp. By
4. Audit Close Out

4.1 Method used to verify effectiveness of corrective and preventive action.
Auditor (signature): Date:
8. Audit Report
87
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Audit Report
8. Audit Report
88
Audit Follow-up
There are three

types of audit
follow-up:
Auditee to
provide Cover at the next
Re audit
documentary audit
evidence
8. Audit Report
89
CAPA Effectiveness
Possible
verification
methods:
Interview
Review any
personnel on Check
amended
corrective training Review Observe
documents
and records where process process
e.g. policies,
preventive training has records activities
procedures
action carried been given
etc.
out
8. Audit Report
90
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Section 9
Practice
91
RECAP
• What have you learned?
• What do you think are the main auditor

responsibilities?
 To liaise with the auditee
 To manage the audit
 To accurately record audit findings
 To report the results to the auditee
and all other concerned parties (e.g.
the management team)
9. Practice
92
RECAP
9. Practice
93
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RECAP
9. Practice
94
Section 10
Course Assessment
95
Auditing Practice
1. Prepare for an audit
2. Undertake an audit
3. Report an audit
10. Course Assessment
96
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Let’s keep in touch
Delia Baban
Email:
info@dbfsconsulting.com
Mobile: +44 7513 401085
97
33

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8/22/2022

Course Outlines - Agenda

 A brief intro to BRCGS Food Safety standard

 When/why we audit and different types of audit

 Preparing to audit and checklist preparation

 Auditor skills and attributes

 Conducting the audit and Reporting the non-conformances or findings

 Preparing an audit report

 Recap and practice

By the end of the

 Understand the audit and inspection process

 Be aware of the auditor skills and tools

 Be able to prepare checklists and questions

 Be able to carry out effective internal audits

Input PROCESS Output

Key elements of a Process

BRCGS Food Safety issue 9 definition:

ISO 9000 : 2005 definition

What is an Audit Process?

Key areas to audit within a process

Key areas to audit within a process

What is a Food Safety Audit

- Centered on the defined requirements set out in food safety

- It focuses specifically to the safe production and the supply of

- It provides information upon which the food business can act

- Requires knowledge in different fields (i.e. management

BRCGS Food Safety issue 9 definition:

Inspections are a “do” and audits are a “check”.

An inspection is typically something that a site is

An audit is the process of checking that compliance

Examples of Audits and Inspections

Why auditing is important

• Evaluate the effectiveness of the

Heritage of the BRCGS Global Standards

1998 • Brand owners join to create a common Standard

2000 • First Standard approved by the GFSI

2015 • BRCGS Standard for Packaging and Packaging

2017 • BRCGS Standard for Agents and Brokers Issue 2

2018 • BRCGS Standard for Food Safety Issue 8

Food Safety Standard

Food Safety Standard

• Senior management commitment

Format of the Standard

Statement of Intent (SOI)

The Statement of intent sets out the expected outcome

Shall Criteria MUST be included within a policy or procedure.

May Guidance for incorporations in company policies and

Other points to note

Production processes represent the key activity on site and auditing

What can we audit

- Companies own QMS

When can we audit

1. If there are any changes to factory/plant or processes

2. In response to customer complaints or identifications of internal failures

3. To meet and satisfy requirements of the internal audit schedule

Why should we audit

Audits are an important part of confirming compliance:

– It can identify improvements, define responsibilities and drive completion of action

Auditing is a tool to decide if the business is producing safe food:

– Are we doing what we say we are doing?

Other audit types

Systems Check against a set pf procedures, products,

Investigative Specific (ie customer complaints, RCAs)