National Producer Organization

On-Farm Food Safety

Certification System

Certification System Procedure

CSP-04, Revision 1

Internal Audit

Prepared by: ……………………………………Date: ………………

Approved by: ……………………………………Date: ………………

Accepted by: ……………………………………Date: ………………

Issue Date: …………….

Review Date: …………..

Table of Contents

  1. Purpose
  1. Scope
  1. Responsibility

3.1Internal Audit Authority

3.2Management Representative

  1. Procedure

4.1Audit planning

4.2Preparing the audit

4.3Conducting the audit

4.4Audit reporting and follow-up

4.5Audit records

  1. Forms
  1. References
  1. Glossary of terms
  1. Attachments
  1. Revisions
  1. PURPOSE

This Certification System Procedure (CSP) describes how internal audits are scheduled and performed to verify compliance with the prescribed reference documents and to assess the effectiveness of the NPO On Farm Food Safety Certification System.

  1. SCOPE

This procedure covers the requirement for routine internal audits of to all elements of the NPO Certification System (CS) as called for by NPO senior management in the NPO Certification System Manual (CSM-01).

  1. RESPONSIBILITY

3.1 Internal Audit Authority

The Internal Audit Authority is responsible for ensuring that all elements of the CS are audited at least once per year in accordance with the prescribed long-term schedule (form # CSP-04-F1), using qualified auditors and recognized auditing practices.

3.1 Management Representative

The Management Representative is a member of the NPO Evaluation Panel and cooperates with the Internal Audit Authority to review the qualifications and performance of Internal Auditors who conduct audit of the Certification System.

Note:

All CS program personnel are made aware of the long-term internal audit schedule and are required to cooperate with the auditors by providing access to CS documents and records, and by participating in interviews as required by the Audit Plan (form # CSP-04-F2). These personnel are the auditees within the internal audit process which can only function effectively with their full support.

4. PROCEDURE

4.1 Audit Planning

a)The Internal Audit Authority uses the long term schedule to plan for the basic internal audits which are to be conducted on the total scope of the CS within a 12 month period. Additional audits may be scheduled at the discretion of the Internal Audit Authority in order to evaluate system changes, review priority areas in more depth, identify sources of potential nonconformity or follow up on customer complaints.

b)Internal audits are conducted at least quarterly, and approximately 25-30% of the quality system elements shown on the long-term schedule are audited each quarter.

c)Written notifications of internal audits are issued to those responsible for the elements/areas to be audited using the Audit Plan (form #CSP-04-F2).

This plan indicates the following information:

Date, time and duration of the audit

Elements/areas to be audited

Auditee representative

Reference documents

Lead Auditor (and any audit team members)

Key employees to be interviewed

d)Auditors are prequalified as follows:

NPO Internal Auditors are expected to have completed an internal auditor training course in accordance with ISO 19011 requirements and the criteria referenced in the CS Manual (CSM-01). The course instructor must be a Certified Quality Auditor with on-farm food safety systems assessment experience.

Subcontractor Auditors are expected to be Certified Lead Auditors with on-farm food safety systems assessment experience.

e)An Evaluation Panel, comprising the Internal Audit Authority & Management Representative annually reviews and approves the qualifications of any in-house personnel and subcontractors who will form the resource base for conducting audits of the company Quality System. A list of Pre-qualified internal auditors (form # CSP-04-F3) is maintained by the Internal Audit Authority.

4.2 Preparing the Audit

a)The Internal Audit Authority identifies when audits and/or re-audits are required by monitoring and updating the long term schedule on a monthly basis.

b)The internal audit process is initiated when the Internal Audit Authority selects a qualified auditor from the list of pre-qualified internal auditors, and requests the auditor (form # CSP-04-F4, copy to auditee) to conduct an audit of the specific elements/areas identified on the long-term schedule.

c)The auditor prepares an audit plan which is issued to the auditee prior to the proposed audit date, and a copy is sent to the Internal Audit Authority and the auditee. Audit dates and times are confirmed verbally one week in advance.

d)The assigned auditor reviews the reference documents (the CSM-01 and supporting CSP`s) and prepares a customized checklist for the elements/areas to be audited, based on the applicable sections of the Certification System (form # CSP-04-F7). If specifically required by the Internal Audit Authority, the auditor may also prepare supplementary checklists to focus on particular areas of interest and to make the audit more effective.

4.3 Conducting the Audit

a)The auditor initiates the audit by contacting at the appointed start time, the auditee responsible for the elements/areas to be audited to confirm that the audit plan as submitted is acceptable. This point of contact between the auditor and the auditee is considered to be the opening meeting for the audit where any adjustments to the audit plan are agreed.

b)When the content of the audit plan has been verified with the auditee, the

auditor commences the on-site audit which involves:

  • Interviewing the personnel conducting CS related work activities
  • Observing activities which could impact on CS objectives
  • Reviewing working documents and records

c)The auditor uses the checklist to record all significant observations, and

to document the status of the CS, as well as any potential or confirmed

nonconformities.

d)When the on-site audit is completed the auditor takes some time to evaluate the audit findings and draw conclusions as to the number of nonconformities found and the overall effectiveness of the CS for the element/area audited.

e)The auditor documents the nonconformities on a Corrective Action Request (form # CSP-04-F5) and prepares for the pre-scheduled closing meeting with the auditee.

f)The closing meeting is held to permit the auditor to present the audit conclusions, explain the nonconformities, and provide an overall assessment as to the effectiveness of the CS in the areas audited. It is important to ensure that the auditee has understood and accepted the nonconformities at this meeting and has signed the Corrective Action Request form accordingly. Target dates for completion of the required corrective actions are also be agreed with the auditee.

4.4 Audit Reporting and Followup

a)Immediately following the closing meeting the auditor completes the Audit Report (form #CSP-04-F6) and issues a copy, complete with Corrective Action Request forms, to the Internal Audit Authority and the Auditee.

b)The Internal Audit Authority has the option of :

  • Arranging for followup of corrective actions at the next scheduled internal audit, and/or
  • Scheduling special audits of corrective actions required to resolve major nonconformities.

c)The results of followup audits required to assess the effectiveness of corrective actions taken are documented on the appropriate Corrective Action Request forms.

4.5 Audit Records

a)Audit Reports and attachments are retained for a period of 5 years.

b)Completed Corrective Action Request forms are retained for a period of 5 years.

c)Audit Checklists are retained for a period of 5 years

  1. Forms

Form # CSP-04-F1:Long-Term Schedule

Form # CSP-04-F2:Audit Plan

Form # CSP-04-F3:Prequalified Internal Auditors

Form # CSP-04-F4:Request for IA Services

Form # CSP-04-F5:Corrective Action Request

Form # CSP-04-F6:Internal Audit Report

Form # CSP-04-F7:Internal Audit Checklist

  1. References

CSM-01: NPO Certification System Manual

  1. Glossary of terms

See Certification System Manual, Section 1.2 “Definitions“

  1. Attachments

Forms:CSP-04-F1 to F7

  1. Revisions

Revision # / Details of Changes Made / Date / Authority
1 / Content aligned with re-defined criteria in Manual CSM-01Rev1 and non-generic terms in text removed.
Responsibilities clarified, code of conduct added. / 04/04/12 / G.A.Knapp
INTERNAL AUDITS - LONG TERM SCHEDULE
Guide 62
Section # / DESCRIPTION / YEAR……………
MONTH
J / F / M / A / M / J / J / A / S / O / N / D
2.1.1/2/3 / MGT. / ORGANIZATION / SUBCONTRACTING
2.1.4 / QUALITY SYSTEM
2.1.7 / DOCUMENTATION
2.1.6 / INTERNAL AUDIT & MANAGEMENT REVIEWS
2.1.5 / CONDITIONS FOR CERTIFICATION
2.1.8 / RECORDS
2.1.9 / CONFIDENTIALITY
2.1.3 / SUBCONTRACTING
2.2.1/2/3 / PERSONNEL QUALIFICATION / SELECTION
2.2.4 / CONTRACTING ASSESSMENT PERSONNEL
2.2.5 / ASSESSMENT PERSONNEL RECORDS
2.2.6. / PROCEDURES FOR AUDIT TEAMS
2.3 / CHANGES IN CETIFICATION REQUIREMENTS
2.4 / APPEALS, COMPLAINTS AND DISPUTES
3.1 / APPLICATION FOR CERTIFICATION
3.2/3/4 / PREPARATION / ASSESSMENT / REPORT
3.5 / DECISION ON CERTIFICATION
3.6 / SURVEILLANCE AND REASSESSMENT
3.7 / USE OF CERTIFICATES AND LOGOS
3.8 / ACCESS TO RECORDS OF COMPLAINTS

Form # : CSP-04-F1

Prepared by:______Date Issued:______

Internal Audit Authority

AUDIT PLAN

PLACE/AREA TO BE AUDITED:

DATE/TIME

REF. DOCUMENTS:

AUDITEE CONTACT:

AUDITOR:

OTHER ITEMS (eg. confidentiality, language, observers, technical support):

AUDIT SCHEDULE:

OPENING MEETING TIME………………

ELEMENT/AREA AUDITEDTIMEAUDITEE

CLOSING MEETING TIME………………

PREPARED BY______DATE ISSUED:______

AUDITOR

Form # : CSP-04-F2

LIST OF PREQUALIFIED INTERNAL AUDITORS

NAME / QUALIFICATION RECORD / DATE APPROVED BY EVALUATION PANEL / AUTHORIZED BY

Form # : CSP-04-F3

REQUEST FOR INTERNAL AUDITING SERVICES

INTERNAL RESOURCE:EXTERNAL RESOURCE

NAME______NAME______

COMPANY______

Phone #______

Fax #______

e-mail______

This is to request your services to conduct the following internal audit:

PLACE/AREA TO BE AUDITED______

DATE/TIME______

REF. DOCUMENTS:______

AUDITEE CONTACT:______

AUDITOR:______

OTHER ITEMS (eg. confidentiality, language, observers, technical support):______

______

Please confirm your availability by (date):______

Issued by ______

Internal Audit Authority

CONFIRMATION OF AVAILABILITY

AUDITOR______DATE______

NOTE:

On receiving confirmation of the auditors availablity the Internal Audit Authority will issue all related reference documents to the auditor.

The auditor will prepare and issue the audit plan and proceed with the audit in accordance the requirements of the long term schedule.

Form # : CSP-04-F4

CORRECTIVE ACTION REQUESTCAR #______

AUDITEE:______AREA/ELEMENT ______

MANUAL/PROCEDURE REFERENCE______

ISO/IEC GUIDE 62 REFERENCE______

DESCRIPTION OF OBSERVATIONMajor_____

Minor_____

AUDITOR______TARGET DATE FOR CORRECTIVE ACTION______

ACCEPTED BY AUDITEE______

ACTION TAKEN TO PREVENT RECURRENCE

DATE IMPLEMENTED______AUDITEE______

VERIFICATION OF IMPLEMENTATION

AUDITOR______DATE______

Form # : CSP-04-F5

INTERNAL AUDIT REPORT

AREA/ELEMENT AUDITED______DATE______

AUDIT PLAN(copy attached)

CHANGES TO AUDIT PLAN (if any)______

______

NUMBER OF MAJOR NONCONFORMITIES FOUND______

NUMBER OF MINOR NONCONFORMITIES FOUND______

Note

Copies of all Corrective Action Requests are attached.

COMMENTS ON OVERALL EFFECTIVENESS OF THE SYSYEM AUDITED

______

______

______

______

______

______

SIGNED BY______DATE______

AUDITOR

DISTRIBUTION 1. Internal Audit Authority2. Auditee

Form # : CSP-04-F6

INTERNAL AUDIT

CHECKLIST

Auditee:…………………………….…………………… Date/Time: ……………………………

Areas to be Audited:……..………………………………Ref. Docs:……………………………..

…………………………………………………………….………………………………………….

…………………………………………………………….………………………………………….

…………………………………………………………….………………………………………….

Auditor:……..…………………………………………….………………………………………….

Doc.
Ref. / Requirement / C / NC / Observation

Form # : CSP-04-F7

NPO Certification System Program – Internal Auditors

Code of Conduct

All NPO-CS Program – Internal Auditors who sign this document agree to comply with the code of conduct described herein.

I, ………………………………….. pledge to uphold the the highest professional principles in the fulfillment of my my responsibilities as an Internal Auditor, and to abide by the following code of conduct:

  1. To act professionally, accurately and in an unbiased manner.
  1. To strive to increase my competence as a quality systems internal auditor.
  1. To assist those under my supervision to develop their quality and auditing skills.
  1. Not to represent conflicting or competing interests and to disclose to NPO management any relationships that may influence my Judgement.
  1. Not to discuss or disclose any confidential information relating to an audit unless authorized by NPO management.
  1. Not to accept any inducement, gift or benefit from an auditee or any interested party.
  1. Not to intentionally communicate false or misleading information that may compromise the integrity of any audit.
  1. Not to act in any way that would prejudice the reputation of the NPO and/or its CS Program.
  1. Not to misrepresent my own or any other individuals qualifications, competence and/or experience, nor undertake auditing assignments beyond my qualifiactions.

Signed:………………………………………Date:…………………………

Internal Auditor

Form # CSP-04-F8

NPO Certification SystemDate :10/23/2018

Title :Internal AuditProcedure # :CSP-04 Rev: 1

Page: 1

Quenpro Inc.NPO-CS / 7CA4-CSP04g