Bloom’s Taxonomy: LV, LVI
Definition
- LI. Remembering: Exhibit memory of previously learned material by recalling facts, terms, basic concepts and answers.
- LII. Understanding: Demonstrate understanding of facts and ideas by organizing, comparing, translating, interpreting, giving descriptions and stating main ideas.
- LIII. Applying: Solve problems in new situations by applying acquired knowledge, facts, techniques and rules in a different way.
- LIV. Analyzing: Examine and break information into parts by identifying motives or causes. Make inferences and find evidence to support generalizations.
- LV. Evaluating: Present and defend opinions by making judgments about information, validity of ideas, or quality of work based on a set of criteria.
- LVI. Creating: Compile information together in a different way by combining elements in a new pattern or proposing alternative solutions.
Topic Description
Auditing is one of the primaries means of verifying and validating a food safety management system in the food industry. Audits are in-depth inspection against a known standard. Hazard Analysis Critical Control Point (HACCP), Preventive Control Plans (PCP), and other food safety management systems refer to two types of audits: external and internal audits. This topic provides participants with the competences and skills needed to plan internal and external audits, create audits procedures, choose the internal auditors, train, and prepare the staff for audits and inspections, communicate the findings with top management, act upon the findings and maintain records. Finally, this topic covers the tools needed to build up the staff’s Emotional Intelligence (EI) and help them manage their stress during critical situations such as audits and recalls.
Learning Objectives
LO1. Identify and choose the internal auditors from the food safety team.
Managers should identify the staff who have the right competencies or leadership potential to perform the internal auditors’ roles. Internal auditors should have a set of expertise and skills or be offered training to perform the audit procedure aligned with the food safety management or HACCP program in place.
Detailed Competencies = Performance indicators include but are not limited to:
- P1. Evaluate the audit requirements and audit guidance specific to the food safety management or HACCP system implemented within the facility.
- P2. Perform a gap assessment on skills and competencies for audit within the HACCP or food safety team.
- a. Understanding of the food safety system to be audited
- b. Evaluation of hazards within ingredients, and processes
- c. Evaluation of product and process flow within the environment
- d. Application of process controls and interventions to mitigate hazards.
- e. Internal auditors must be independent from the audited area i.e., not auditing his/her work where possible.
- f. Utilization of root cause and corrective action tactics
- g. Ability to communicate effectively in verbal and written form.
- h. Emotional intelligences in conflict management, advocacy, and stress management
- P3. Select training or professional development programs to enhance skills of the audit team members.
- P4. Collaborate with technical specialists in food safety, process technology and regulatory affairs to provide feedback and analysis on risks within the manufacturing processes.
LO2. Create an internal audit procedure.
Managers have the responsibilities and requirements for planning and conducting audits, and for reporting results and maintaining records of the findings. While scheduling the internal audits, they must consider the importance of the processes and areas to be audited as well as updating corrective actions resulting from previous audits.
Detailed Competencies = Performance indicators include but are not limited to:
- P1. Ensure management commitment for internal audit policy and procedure.
- P2. Plan and schedule internal audit based on risks, company needs, and food safety management program requirements.
- a. Make sure that the schedule is across the year with a minimum of once per year.
- P3. Create an internal audit procedure. Include the following items:
- a. Who is responsible (who)
- b. Internal audit scope (what and where) / area, clauses from the standard and the process covered as well as daily or weekly Good Manufacturing Practices (GMPs) inspections.
- c. Frequency (when) based on risk related to the area and the number of Corrective Actions Requests (CARs) in the area.
- d. Methods used (how); The auditor shall review a few records or audit trails or samples (3-10) to ensure conformity.
- e. Reporting results (what); Write internal audit report which must have statement of conformity including samples of records reviewed, and non-conformity if any was raised.
- f. Maintaining records.
- P4. Communicate with food safety, quality control and operations to ensure sufficient time is given for the audit.
- P5. Explain the internal audit best practices which may include:
- a. Pre-audit – daily routine management of food safety and quality control programs
- b. Pre-audit – daily routine record keeping procedures.
- c. Pre-audit – continuous improvement processes for food safety and quality control
- d. During audit – briefing meeting.
- e. During audit – documentation review.
- f. During audit – onsite observation of products and processes.
- g. During audit – interviews with key personnel.
- h. During audit – collection of objective evidence.
- i. During audit – closing meeting.
- j. Post audit – follow up and written report.
- k. Post audit – root cause analysis.
- l. Post audit – corrective action preventive action reporting
- m. Post audit – trend analysis of nonconformities.
LO3. Train and/or find training resources for the organization’s internal auditors.
Managers should have the competences to train or find training resources for the organization’s internal auditors.
Detailed Competencies = Performance indicators include but are not limited to:
- P1. Identify the necessary competencies for internal auditors.
- P2. Identify reference and training materials needed.
- P3. Create a training program or source external training providers to ensure personnel have the necessary competencies.
- P4. Evaluate the implementation and the effectiveness of the training program implemented or other actions taken.
- P5. Maintain records of training and actions taken.
- P6. Include role play and/or shadow audits in the internal audit training.
LO4. Continuously improve and update the internal audit procedure based on the findings.
Based on the management review exercise, the managers will have the information needed to continuously improve and update the policies, processes, and procedures.
Detailed Competencies = Performance indicators include but are not limited to:
- P1. Evaluate the effectiveness of the procedure.
- P2. Periodically update the procedure as needed.
- P3. Communicate the changes with the identified internal auditors.
- P4. Act upon the findings of internal and external audits.
- P5. Maintain records of all taken actions.
LO5. Prepare for external audits including government inspections and third-party audits.
Managers should have the competence to manage external audits done by a third-party auditing company or by the government inspectors and auditors.
Detailed Competencies = Performance indicators include but are not limited to:
- P1. Choose the right third-party auditors company based on the organization’s needs.
- P2. Prepare the food safety and quality control teams mentally and emotionally for the likelihood of unannounced audits.
- P3. Explain the external audit steps include:
- a. Pre-audit – daily routine management of food safety and quality control programs
- b. Pre-audit – daily routine record keeping procedures.
- c. Pre-audit – continuous improvement processes for food safety and quality control
- d. During audit – briefing meeting.
- e. During audit – documentation review.
- f. During audit – onsite observation of products and processes.
- g. During audit – interviews with key personnel.
- h. During audit – collection of objective evidence.
- i. During audit – closing meeting.
- j. Post audit – follow up and written report.
- k. Post audit – root cause analysis.
- l. Post audit – corrective action preventive action reporting.
- m. Post audit – trend analysis of nonconformities.
- P4. Prepare the staff for external audit and government inspections.
- P5. Advocate findings with auditors and top management as needed.
- P6. Develop corrective and preventive action plans to address nonconformity and the adjustment to the food safety management system if needed. The preventive action plans must be based on root cause analysis such as 5 Whys and fishbone analysis.
LO6. Build up Emotional Intelligence of the staff to know how to handle audits.
Manager should have the competences to build up Emotional Intelligence (EI) of the staff to know how to handle stressful situations such as audits.
Detailed Competencies = Performance indicators include but are not limited to:
- P1. Regulate and handle the emotions of stress and react proactively to the situation.
- P2. Identify emotions in coworkers as they handle a critical situation during an audit.
- P3. Help manage others’ stress and prevent emotional breakdowns in front of an auditor.
- P4. Provide means to motivate the staff and have the capacity to self-motivate.
- P5. Practice the use of the EI elements through internal audit and mock recall procedures.
- P6. Provide EI and soft skills training.
- P7. Provide feedback to staff and help them to embrace self-esteem and confidence.
Links to existing courses
Approved Accredited Training Programs (Academic, Industries, Private Trainer)
NA
Recognition of worker skills = Certification
NA
Evaluation technics / assessment
- Quizzes
- Written tests
- Multiple choice questions
