The Auditing Process


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Speakers: Jim Whitehouse
Session: Grass Fed Beef Production

Published in: Education
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The Auditing Process

  1. 1. THE AUDITING PROCESS Why do we do audits • To confirm that what is being offered is what it is • To gain consumer trust in the product they are purchasing • To recognize weak links in the production process
  2. 2. What is an audit? • Procedure that reviews the MOP or SOP of the product. • Looks for areas of risk of cross contamination • Ensures that Corrective Actions (CA) are documented and implemented
  3. 3. What is the bases of the Audit • Starts with a MOP or SOP approved by ???? • Internal audit by a second party • External audit by a third party
  4. 4. Method of Production or Standard Operating Practices
  5. 5. Internal Check List
  6. 6. Third Party External Audit • Performed by independent body • Based on deducted points • Need 750 out of 1000 to Pass • The greater the risk to negate the label claim the higher the deduction. • 10 points for minor • 100 points for major • 1000 points for critical
  7. 7. AUDIT SUMMARY ON FARM FACILITY FINAL REPORT – Special Feed - No Medications/Animal By-Products/Prohibited Material System Audit An initial audit was performed at the processing facility of (insert name & address of facility audited) hereinafter referred to as “the facility”, to evaluate compliance to the SGS Special Feed - No Medications/Animal By-Products/Prohibited Material Verification Audit Checklist On Farm Version, version 2.0, 2008, hereafter referred to as “the standard”. This standard incorporates key elements of the guidelines/regulations for Good Manufacturing Practices (GMP) and Hazard Analysis Critical Control Point (HACCP) systems set out by the Codex Alimentarius Commission and the Canadian Food Inspection Agency. • The facility was able to earn an adequate score to achieve a “PASS” rating for the audit and a certificate will be issued forthwith to confirm that the processes within the facility have been certified to meet the requirements of the standard. This certification will be valid for 12 months following the certification date, which is: (insert audit date) Annual recertification audits are required prior to certificate expiration date to maintain certification under this standard. Key to Abbreviations: SOP - Standard Operating Procedure CA - Corrective Action WI - Work Instruction CAR - Corrective Action Record Company & Site Audited: (Legal name & address) Products/pack type produced: Medication Used: Prohibited Material Used: Lead Auditor Name: Review Auditor Name: Lead Auditor Signature: Review Auditor Signature: Date(s) of Audit: Date of Review: Audit Start Date/Time: Audit End Date/Time: Report Issue Date: Date of Previous SGS Audit: Audit Score Summary & Pass/Fail Determination: Pass Requirements: Overall score of 750/1000 or higher 1. Overall Score Achieved This Audit: Audit Outcome: 1000 /1000 PASS
  8. 8. 1.1 Premises Control, Receiving, Storage & Handling of Special Feed: Point Ref. No. Criterion Value 1.1.1 Storage containers or silos secured against cross contamination risks 10 1.1.6 Cleaned bins and silos are inspected for cleanliness before being used to store special feed or related ingredients 100 1.1.7 Receiving line & silos/bins are flushed adequately prior to receiving special feed ingredients (flush quantity must be validated to show adequacy in preventing carry over of any medication, prohibited material or animal byproducts) 1000 1.1.8 Special ingredient/product storage areas protected adequately & identified in a manner that prevents accidental cross contamination with medications, prohibited material or animal by-product containing ingredients or products 1000 Deducted Score Comments
  9. 9. 1.2 Equipment Design, Maintenance & Calibration Ref. No. Criterion Value 1.2.1 Design / installation permits proper operation, cleaning & maintenance 10 1.2.2 Equipment maintained in adequate condition so as not to contaminate ingredients or products 10 Deducted Score Comments
  10. 10. 1.3 Training Ref. No. Criterion Value 1.3.1 Staff trained in critical SOP’s related to special feed handling with regular evaluation (annually at minimum for the critical SOP's with direct impact on special feed handling/use/contamination) 100 1.3.2 Training & evaluation records are in place, current & verified by qualified personnel 100 Deducted Score Comments
  11. 11. 1.4 Records Ref. No. Criterion Value 1.4.1 Records legible 10 1.4.2 Written record review procedures available 10 1.4.3 Record review performed promptly for critical records. Special feed ingredient receiving/flush records reviewed within 1 day of ingredient receipt. Sequencing/flushing/usage records reviewed at latest by the next working day. 100 Deducted Score Comments
  12. 12. 1.5 Process Monitoring & Corrective Actions Ref. No. Criterion Value 1.5.1 All critical corrective actions completed promptly enough to maintain control over feed safety. 1000 Deducted Score Comments
  13. 13. 1.5.2 No ingredients or items added to Special Feed before or during feeding to livestock unless approved by GVF under the controls of the Special Feed program 1000 1.53 Feeding of animals strictly adheres to prescribed feeds & feed rates prescribed in the applicable producer manual & facility has a current copy of this manual on site 1000
  14. 14. 1.6 Internal Audit Procedures Ref. No. Criterion Value 1.6.1 Verification of special feed/special feed consuming livestock protection from contamination is performed internally on initial implementation & at least once within each 12 month period, including critical SOP review, random record review, staff interviews & site walk through (all documented) 100 Deducted Score Comments