SQF Audit Checklist

Module A7

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Learning Outcomes Module A7

Be able to perform an Audit of an SQF System using the SQF Audit Checklists

Introduction

SQF Institute provides Audit Checklist to assist in the uniform Audit and inspection of SQF Systems by SQF Auditors.

Purpose of Audit Checklist is to ensure consistent outcome for each Audit.

Introduction

As per condition of the certification body license agreement, SQFI provides Certification Bodies (CBs) Supplier Assessment Formats

All SQF audits are carried out by registered SQF Auditors using the Supplier Assessment Format designed for the appropriate food sector

Introduction

The SQF Auditor must identify to which standard and Level the Supplier is seeking Certification prior to the audit and use the appropriate supplier assessment format e.g. “Doc Review Audit SQF 2000 Genl Ops Level 3” if

the Supplier is seeking SQF 2000 Level 3 Certification

e.g. “Doc Review Audit SQF 2000 Genl Ops Level 2” if the Supplier is seeking SQF 2000 Level 2 Certification

The Document Review and the Site Audits are performed using two separate assessment formats

Introduction

A Desk Audit/Document Review is to be completed for new certifications or major changes to existing certifications

January 09 new Quickfire audit database will be available. Going forward, all 6th edition SQF audits will be done with that tool.

Issues with Traditional Audits (Inspections)

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• Auditor fatigue• Highly inefficient• Not viewed as mission critical• Poor follow-through, follow-up• Does not promote continuous

improvement

Guidelines

Defects identified can be categorized into:• Workman Error• Product Defect• Systems Failure• Housekeeping Defects• Construction Defects

Guidelines

• The Audit report is divided into a number of categories and each category contains a number of aspects that must be scored using the criteria outlined

• The report is used for the Desk Audit, the Certification Audit, the Surveillance Audit and Re-Certification Audit

Rating Criteria

4 – Does not meet the criteria (Critical Non-conformance)

3 – Does not meet the criteria (Major Non Conformity)

2 - Does not meet the criteria because of minor variations (Minor Non Conformity)

1 – Meets the criteria, opportunity for improvement

0 – Fully meets the criteria

Calculating the Rating

A - B x 100 = Rating

A

Sum of the individual rating criteria allocated

Number of aspects assessed X 4

Recall the definitions of:

Critical Non-conformity Major Non-conformity Minor Non-conformity

Critical Non-conformity

Includes but is not limited to: A break down of control(s) at a critical control point,

Pre-requisite Program or other process step and judged likely to cause a significant public health risk whereby product safety is compromised and judged likely to result in a Class 1 or Class 2 recall and effective corrective action is not taken.

Falsification of records relating to food safety controls and the SQF System.

Critical Non- conformity

Includes but is not limited to: i) A break down of control(s) at a critical

control point, Pre-requisite Program or other process step and judged likely to cause a significant public health risk whereby product safety is compromised and judged likely to result in a Class 1 or Class 2 recall and effective corrective action is not taken.

ii) Falsification of records relating to food safety controls and the SQF System.

Major Non-conformity

Means a lack or deficiency in the SQF System

producing unsatisfactory conditions that carry a food safety or quality risk and likely to result in a systems element breakdown

Major Non-conformity

means a lack or deficiency in the SQF System producing unsatisfactory conditions that carry a food safety or quality risk and likely to result in a systems element breakdown.

Minor Non-conformity

means a lack or deficiency in the SQF System that produces unsatisfactory conditions that if not addressed will lead to a risk to food safety and quality but not likely to cause a systems element breakdown.

Opportunity for Improvement (OIP)

The facility may meet the definition of the standard, but for that industry they are not practicing “best practices”• Example: Metal detector – facility may have metal

detector, but it does not automatically reject product when metal is detected. In an industry where metal is a risk, this would be an OIP

SQFI Food Safety & Management – Portal and eAudit Solutions –

Retailer assurance Supplier access to their reports Simplicity Global search

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Major Functions

Registration/record management• Buyer, certification body, auditor, supplier/site

Certification process• Online process management• Improved visibility of audit stages, status

Access to audit & certification data• Different levels of access for different stakeholders

Reporting • Improved management and performance reports

Notification services• Auto-alerts for timed-out actions, suspensions,

withdrawals.

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Scheduling

CA management

Approvals

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4

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SQF Quickfire

Public Access

Stakeholder Access to SQF QuickfireStakeholder Access to SQF Quickfire

Registration

Non-Conformance

Site / Supplier

1

5 Auditors

Audit completion using Quickfire PAF3

Certification Bodies

Admin SQF 7Buyers / Retailers

Audit Results visibilityData analysis and trending

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Local Language Login

Login ScreenLogin Screen

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My WorkMy Work

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My Work My Work >> SitesSites

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Site Site > Site Details> Site Details

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Site Site >> Site Details Site Details > Cert Bodies> Cert Bodies

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Site> Site> Site Details Site Details > Cert Bodies> Cert Bodies

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CB CB > setting up Audit Group> setting up Audit Group

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Audit Group Audit Group > Audit (selection)> Audit (selection)

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Quickfire PAF technologyQuickfire PAF technology‘portable audit format’‘portable audit format’

Lightweight Reader available as a free web download

PAF file can read, edited and results submitted back to a Quickfire or a compatible Database

Broaden reach of data capture across extensive international supply bases

Multi-lingual capability Not restricted by poor internet infrastructure;

ideal for emerging economies

Information not limited to audits and assessments

Common data format Aim de-facto standard

PAF’s generated from Quickfire and e-mailed to single/multiple recipients

PAF can be opened and edited by recipients using PAF Reader

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Save and Email PAFSave and Email PAF

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Email TemplateEmail Template

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PAF file attached to emailPAF file attached to email

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PAF ReaderPAF Reader

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PAF Reader PAF Reader > SQF Audit > SQF Audit

Question

Primary Response

Secondary Responses

Navigation Tree

Guidance

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PAF Reader PAF Reader > Responses> Responses

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PAF Reader PAF Reader > Corrective Actions> Corrective Actions

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PAF Reader PAF Reader > Reports> Reports

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PAF Reader PAF Reader > Submit data> Submit data

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PAF Reader PAF Reader > Submit data> Submit data

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My Work > Open Non ConformancesMy Work > Open Non Conformances

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Site View on Non ConformancesSite View on Non Conformances

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Site > List of Non ConformancesSite > List of Non Conformances

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Site Details > Non-conformance > DetailsSite Details > Non-conformance > Details

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Site > Site > Edit Non ConformancesEdit Non Conformances

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Site Site > Close Non Conformance> Close Non Conformance

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Auditor Auditor > Close Audit> Close Audit

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CB File ReviewerCB File Reviewer > ‘Under Review’ > ‘Under Review’

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Audit Groups Audit Groups > Status > Status > Closed> Closed

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Audit Report

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Audit Summary

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Audit Detail

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Multi-lingual Capability (Italian)

Beneficial Value

Buyers• Immediate access to audit results & reports,

24/7

• Confidence in supply chain through high standards, e.g. surveillance audits every 6 months

• Supplier discovery - access to certified sites via live database

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Beneficial Value

Suppliers• Provides confidence for their customers (buyers)• Global exposure to buyers via supplier discovery

portal• Transparent management of audit next steps via

online portal• Ability to use PAF’s for completing their own internal

audits or for auditing their suppliers 58

• Answer the questions for this module in the “Auditing SQF Systems Participant Assignment Exercise Book”.