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Module 5 - Quality and Internal Control in Food Industry

The document discusses quality control and auditing processes in the food industry. It describes the importance of technology for managing food safety documentation and outlines the key steps of the auditing process, including planning, execution, corrective action, verification, and evaluation. It differentiates between external audits by third parties and internal audits, and provides details on implementing an effective internal audit program, from planning to follow-up after corrective actions. Non-conformance reports are identified as an important tool for documenting issues found and ensuring corrective measures are taken.

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MOHD ROSNIZAM BIN MOHD YUSOFF Moe
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134 views

Module 5 - Quality and Internal Control in Food Industry

The document discusses quality control and auditing processes in the food industry. It describes the importance of technology for managing food safety documentation and outlines the key steps of the auditing process, including planning, execution, corrective action, verification, and evaluation. It differentiates between external audits by third parties and internal audits, and provides details on implementing an effective internal audit program, from planning to follow-up after corrective actions. Non-conformance reports are identified as an important tool for documenting issues found and ensuring corrective measures are taken.

Uploaded by

MOHD ROSNIZAM BIN MOHD YUSOFF Moe
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
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Download as PDF, TXT or read online on Scribd
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Quality and Internal Control in

Food Industry
Ts Nur Shukriyah Omar MIFT
Asst Manager Business and Product Development
Central Sugars Refinery Sdn Bhd
The Auditing Process
• Technology plays an important role in food safety audits. The
maintenance of the necessary food safety checklists and
quality assurance documents requires the management of
large amounts of data.
• The access to these data/documents and their analyses is
important for a successful audit and can be used to prove that a
high level of food safety has been ensured.
• A convenient auditing app can assist in managing documents and
workflows for auditing, as well as in improving daily business
operations.
• It can also assist with processes that include management and
archiving of training and certification records, statistics, data
collection and analysis
Auditing Program in Food Industry
• Many organizations categorize their auditing program into:

(1) external audits, which are audits conducted by a third-


party organization and
(2) internal audits, which are audits conducted by internal
auditors that work for the organization.
External Audit process
• An external audit is an independent examination . An audit results
in an audit opinion about whether the statements give a 'true and fair'
view of the: situation of the organization and operations for the
period of time.
• Most companies have experience in external auditing processes.
These auditing processes involve detailed assessments in which
the companies frequently focus principally on passing the audit.
• This way of approaching external auditing has resulted in the
conduction of misunderstood or underutilized internal auditing.
• Instead of approaching the internal audits as a necessity to pass
an external audit, they need to be seen as an important tool of
quality management systems (QMS) that can contribute to the
continuous improvement and validation of the food safety
systems
Types of Audits
• Audits can be categorized, based on auditor–auditee relationship,
into:
1)First-Party Audits: A self-assessment, that offers internal
verification that procedures and management strategies meet the
requirements of a standard and represent the business objectives.
2)Second-Party Audits: Also commonly known as proprietary
audits, these audits assess the performance of suppliers or
contractors.
3)Third-Party Audits: These audits involve the conduction of
audits by independent auditors that are not employed by the
auditee and often lead to certification.
Steps of Food Safety Audits
• Regardless of their type, food safety audits are usually
conducted following the under-mentioned steps:
1) Planning
2) Execution
3) Corrective and preventive action
4) Verification
5) Audit evaluation
STEP 1 – PLANNING
• A clear objective
• Scope of your food safety audit is another important part of planning
– what areas are being targeted? This can be based on criteria such as the
requirements of a standard, or a specific process or the organization in its entirety.
• Based on your objective and scope, there are three types of food safety audits:

1. Focused: targets a specific area, and may be conducted in response to a


specific customer request, in response to an incident at another facility, or to
conduct a pre-assessment of particular parts of the management system
2. Random Sample: mainly to spot checks or follow-up verifications of a
corrective action and provides support to problem or high-risk areas.
3. Process/Department: these audits provide greater depth, and aid in the
identification of trends and root cause analysis and is important to achieve
long-term corrective action.
STEP 2 – EXECUTION

• A real-time assessment of the status of your operation and quality


management system.
• Look at problems that may be fermenting now – they can be
proactive, rather than reactive.
• Implement preventative strategies in addition to reporting findings
can bring value with improved efficiency and avoidance of future
problems.
• Foster communication within the organization. Engaging with
employees in interviews provides a multitude of viewpoints – to build
a strong food safety culture
• Using audit tools during execution, such as diagrams, cross-
reference matrices and process requirements and will help ensure a
systematic and thorough food safety audit.
STEP 3 – CORRECTIVE AND PREVENTATIVE ACTION
• Capturing information with proper documentation and problem
descriptions provides actionable responses and timely corrective
action
• A formal process in which responsibility is assigned and workflows
clearly defined.
• More in-depth assessments can be afforded by root cause analysis,
in which data is collected over time to identify trends, and facilitate
long-term solutions rather than a “quick fix” approach.
• Information should be communicated to everyone that is involved
with the process, and they should understand their corrective
responsibility.
STEP 4 – VERIFICATION
• How well corrective and preventative actions are working, and
whether they are achieving their purpose as laid out in the
management strategy.
• The person who conducts the food safety audit should not be
the same person who came up with the corrective action
• Reviewing all the collective outputs of a given action, mini-
audits and follow-up interviews.
STEP 5 – AUDIT EVALUATION
• Auditing your audit process- one of the most important parts.
• Questions to raised

1. Are you conforming with the objectives and the food safety audit schedule?
2. Are resources being used efficiently?
3. Is there commitment on the part of management to push for implementation of
corrective and preventative actions?
4. How can we make our audits more effective?

• Continual evaluation of the food safety auditing process will help ensure audits
are driving value.
• Feedback serves to strengthen your food safety audits, and in turn your
organization as a whole.
Internal Audit Process
• An internal audit offers risk management and evaluates the
effectiveness of a company's internal controls and
• Internal audits provide management and board of directors with
a value-added service where flaws in a process may be caught
and corrected prior to external audits.
Key Steps in Internal Audit
• Plan
Establish the objective or define the scope of the audit and create an annual schedule.
Selecting and training of the internal auditors are also key components of the planning
step.
• Do
Implement the plan or execute the process, which involves the collection of information
for evaluation. Utilizing the Internal Audit Checklist Tool for assessment and includes
conducting risk assessment of non-conformities according to standard classification of
Critical, Major, and Minor Non-conformities.
• Check
Writing the non-conformity report and assigning responsibility and deadlines for
conducting root cause analysis and corrective action.
• Act
Follow-up with the corrective actions in the check step and verify that the corrective actions
are effective and will prevent future re-occurrence.
• The internal auditor’s main goal is to verify and provide supporting evidence
• Develop Internal Audit Program objectives with Senior Management to include reducing
non-conforming product, promoting continuous improvement, passing the external audit,
and meeting customer and regulatory specifications.
• Manage internal audits as a separate program that include procedures, trending analysis,
formal training, cross department representation, and increasing the size of the internal
auditing team.
• Ensure the internal audit is an official event and do not let other work interfere with
audit completion or reporting.
• Objective and only collect evidence or facts. Take pictures for training purposes and
reduce audit bias by having a cross-function internal audit team.
• Train internal auditors to properly
• To audit the system and not the person.
• Internal audit non-conformity report must be written in a timely manner and provide
routine updates to Senior Management.
Audit Finding
• Audit Finding means the result from a process that evaluates
audit evidence and compares it against audit criteria. Audit
Findings can show that audit criteria are being met (conformity)
or that they are not being met (nonconformity). They can also
identify best practices or improvement opportunities.
Non Conformance Report (NCR)
• A non-conformance report, non-conformity report or NCR, is a
design and construction-related document that addresses
issues where there has been a deviation from the project
specification or where work fails to meet agreed quality
standards.
• Allows you to report non-conforming material
identified during inspection of items or material ( Quality or
Warehouse Inspection) or during the movement of the materials
and/or when the material is in stock.
7 steps to writing an effective
nonconformance report
1. Control the nonconformance
2. Review the nonconformance
3. Determine disposition for nonconformity
4. Perform root cause analysis
5. Take action
6. Monitor for effectiveness
7. Document
Sample of NCR
• https://youtu.be/Cq_fv3qXNeU

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