Hello friends, Welcome back to my blog FOODZAQ. Today we are going to discuss about Food Industry Auditing according to ISO. Food safety and quality audits conducted in food industries are for various reasons such as to evaluate management system, obtain certifications, obtain quality standards and confirm legal compliance.
Management Systems Auditing
• Types of Auditing
• Principles of Auditing
• Audit Program
• Audit Techniques
• Audit Conclusions
• Auditor Traits
• Auditor Competence
Auditing Objectives
• To determine the conformity of the management system with specified
requirements
• To check the compliance with customer, legal and regulatory requirements
• To identify the potential for improvement of the management system
• Gives management the confidence that things happen as intended
Types of Audit
• First-Party:
by a company of itself
• Second-Party:
by a company of its suppliers
• Third-Party:
by an independent body
• Combined Audit – Two standards one audit.
• Joint Audit – One audit, Two bodies
• Witness Audit – Auditor evaluation
Principles of Auditing
• Integrity
the foundation of professionalism
• Fair presentation
the obligation to report truthfully and accurately
• Due professional care
the application of diligence and judgment in auditing.
• Confidentiality
Security of information
• Independence
the basis for the impartiality of the audit and objectivity of the audit
conclusions
• Evidence-based approach
the rational method for reaching reliable and reproducible audit
conclusions in a systematic audit process.
Audit Program Risks
• Risk Based Auditing
• Risk of the audit process not achieving its objectives
• Organization can focus audit efforts on matters of significance to the
management system (high risk areas)
These may include
- characteristics of product quality
- hazards related to health and safety
- significant environmental aspects and their control.
Audit Programme Risks
Risks may be associated with:
• Planning
• Resources
• Selection of the audit team
• Implementation
• Records and their control
• Monitoring, reviewing and improving the audit program.
Opening Meeting
• Introductions
• Confirmation of the objectives, scope and criteria of the audit
• Audit process and approach
• Audit plan
• Reporting method
• Classification of findings
• Confidentiality statement
• Sampling
• Confirm logistics
• Guides
• Safety precautions
• Ask for questions
Auditee Responsibilities
• Communicate audit plan to all concerned staff
• Provide access to facilities, documents & records
• Appoint guides
• Provide office accommodation
Audit Precautions
• Safety issues
• Cultural issues
• Avoid political & religious discussion
Audit Report 1
• Standard Audit dates
• Organization name
• Locations
• Audit summary
• Scope
• Audit team
• Organization’s representatives
Audit Report 2
• Man days
• Recommendation
• Audit plan
• Next audit plan
• Findings
• Follow-up action
• Processes covered
• Any obstacles
Audit Report 3
• Statement of confidentiality
• Statement of sampling
• Signatures of lead auditor
• Signatures of auditee
Closing Meeting
• Thanks
• Reaffirm confidentiality
• Sampling statement
• Scope confirmation
• Audit findings
• Recommendation
• Report
• Corrective action requirements
Audit Follow-up and Review of actions
• Corrections
• Root cause analysis
• Corrective actions
• Evidences of effectiveness
Audit Evidence Type
• Physical
• Documentary
• Verbal
• Circumstantial
Audit Evidence Collection Mechanism
• Interviews
• Observation of activities & facilities
• Reviewing documents
• Following an audit trail
• Taking notes
• Use of checklist
Audit Evidence Questions Technique
• What
• Who
• Why
• When
• Where
• How
• Show me
• Open end questions
• Avoid leading/answered questions
• Avoid ambiguous questions
• Employees’ understanding of the procedures that affect their work
• Managers understanding of their objectives and progress towards meeting
these objectives
• What happens to the system when responsible person for a job is absent
from work
• System integrity under an emergency
NC-Non-conformity
• Conformity
fulfillment of a requirement
• Nonconformity
non-fulfillment of a requirement
Non-conformity - Definition Failure to comply with:
• The Standard
• Documented procedure
• Legal requirement
• Customer contract
• Planned arrangements of the organization
NC – categorization criteria
• Consider the significance/impact
• Total or partial nonconformity with the Standard
• Effect on the maintenance of the FSMS
• Impact on the product safety
NC Types
• Major Non-Conformity (NC)
• Minor Non-Conformity (MNC) or Discrepancy (D)
• Potential Non-Conformity (PNC)
• Opportunity for Improvement (OFI)
NC Writing -1
• Clearly
• Unambiguously
• Factually correct
• Objectively written
• May include:
• Identified records / procedures / section of the FSMS
• Activity / Department / Equipment
• Details of associated risks
NC Writing -2
Avoid:
• Emotive language
• Vagueness
• Unclear description of the problem
• Stating the corrective action
NC Writing -3
Follow P. R. O. N. E.
P - Process
R - Requirement
O - Occurrence
N - Nature of the problem
E - Evidence
Writing an NC - Example
During the audit of the pickle packing hall it was observed that 2 of the 3 insectocutors
were not working. These were insectocutors 2 & 3. This is contrary to clause 6.4 and the
organization’s pest control programme (PRP 1 Issue 2) which states that insectocutors
shall be maintained.
P – Pest Control
R – Clause 6.4 and PRP 1 Issue 2, work environment shall be
managed
O – 2 of the 3
N – Insectocutors were not working
E – Insectocutors 2 and 3
NC Report
• Man-days
• Recommendation
• Audit plan
• Next audit plan
• Findings
• Follow-up action
• Processes covered
• Any obstacles
Auditor Traits
• Ethical
fair, truthful, sincere, honest and discreet
• Open-minded
willing to consider alternative ideas or points of view
• Diplomatic
tactful in dealing with people
• Observant
actively observing physical surroundings and activities
Auditor Traits - 2
• Perceptive
aware of and able to understand situations
• Versatile
able to readily adapt to different situations
• Tenacious
persistent and focused on achieving objectives
Auditor Traits - 3
• Decisive
able to reach timely conclusions based on logical reasoning and
analysis
• Self-reliant
able to act and function independently while interacting effectively
with others
Don’t Take up Auditing if….
• You do not have the authority to question your seniors
• You do not have the time to read documents and write reports
• You do not believe in the concepts of quality / food safety
management
• You are not looking to improve the practices employed by the auditee
Auditor Competence
• Generic knowledge and skills of management system auditors:
• Audit principles, procedures and methods
• Management system & reference documents
• Organizational context
• Applicable legal, contractual and other requirements that apply to the auditee.
Guys, Thank you for reading my blog. I hopes you should understand how to conduct auditing in a food industry according to ISO. If you like my blog, you can also read my previous blogs on food safety. If you have any suggestion or query please feel free to contact below. Thank you again. Have a great day.
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