2 replies to this topic

[Mad Max]

Hi Everyone!

 

I was wondering if anyone has an idea/suggestion on how a proactive internal audit program can be done?

 

Our HR Organizational Development Director wants to level up our IA program by having a random sampling of 1 documented information on a daily basis with the following objectives:

1. To ensure continuous implementation of the program,

2. To identify gaps and opportunities prior to being discovered during an internal/external audit, and

3. To involve the audit readiness of employees at all levels.

 

Can anyone help me outline a procedure for this project?

 

Thanks in advance! 

 

[zoelawton]

Morning Mad Max. 

 

We have a schedule that entails a different section being audited per month. For the remaining months i then have other things such as policy review. This schedule also includes site hygiene, GMP, and all external audits and i refer to it daily so i can see how i can prepare for whats to come. 

 

I think there should be many procedures in place daily that have to be validated somehow, which then confirm implementation of the program, could potentially identify gaps and should include employee audit readiness. 

 

Definitely have independent internal auditors - the more eyes and minds the better for identifying gaps. 

 

I'm positive i have an adequate internal audit schedule and several, several daily procedures that validate the implementation of policy, staff behavior etc. however i still sit here racking my brain about how i can find the non-conformance / compliance before an auditor! 

 

My manager is annoyingly superb at playing devils advocate - so ensure you have someone who can challenge your every thought as this is great at bringing up potential holes and what ifs. 

 

If you have a solid internal audit schedule, and are completing all kinds of audits to a good standard and genuinely implementing the corrective action (i know we sometimes don't) - then sometimes it is just a case of letting an auditor inform you through the means of non-conformances. Annoying, yes, but they are truly one step ahead of us all!

 

I also often find this site absolute gold for raising things i would have never thought of - maybe you could include a section for development and research?

 

I know this didn't given you a procedure that you asked for - but just thought i'd share my thoughts. 

[TimG]

Hey Max, I think I understand your question but I'm not positive. Determining the level of audit that you are looking for is probably going to be your first step. It could be a simple records review all the way up to a document review of existing procedures, policies, etc.

 

If you are looking toward a continuous records review, you will probably want to do this at a cross functional level to get the most bang for your buck. I'd start with the most important food safety records (CCP/PC) first. In fact, if you are pulling one daily I'd try to make sure the 'randomness' heavily weighs the important records or only includes those, at least in the infancy of the rollout. You mentioned 'audit readiness of employees at all levels,' does this mean you will be picking a random person to perform the record review, and that will rotate? If so, you will want to be sure there has been strong training on proper record completion prior to the rollout.

So based on the above, an average day would have (x=person designated by program)

• X will choose from a stack of turned in, random, completed records from the previous day.
• X will make a copy of the document then record the name/date of the document on a log
• X will randomly pick a non-quality person (Y) from a non related group to the record pulled (cross functional), record on log (or just record which group Y is pulled from if you don't want to get this granular)
• Y will receive copy of record and review prior to end of day, utilizing some type of score card and writing directly on copy of record (that's why it's a copy) and then turn in copy of record and score card to X
• X will document findings in log (or score, depending on how you set it up)