A7 Audit Checklists


Published on

Published in: Technology, Business
1 Like
  • Be the first to comment

No Downloads
Total views
On SlideShare
From Embeds
Number of Embeds
Embeds 0
No embeds

No notes for slide
  • Highly inefficient Typically only 35% of the audit is added-value activity Not viewed as mission critical Audits seen as “necessary evil” Often postponed in place of more urgent tasks, e.g. product development Poor follow-through, follow-up Audits can take weeks or months to write and finalize Valuable non-conformances may be lost Corrective actions difficult to manage No continuous improvement Poor visibility of completed actions Time is wasted chasing progress
  • Uses independent audits Complies with international and domestic regulations Provides two standards, based on the Hazard Analysis and Critical Control Point (HACCP) methods and principles SQF 1000 for primary producers SQF 2000 for manufacturing and distribution Enhanced modules for sustainability and new requirements
  • Heading not intuitive, bullets unclear
  • And the collaboration really extends further with a number of stakeholders all contributing and playing key roles in the building up and maintaining of the system. Sites registering online and managing their Non Con’s. CB’s scheduling audits, closing of CA’s and issuing the certifications, the auditors doing the hard work and conducting the audits, Buyers having visibility of audit detail, SQF policing & administrating the entire program. And as is, currently thru the SQF website, Public access to certain information too.
  • Unclear
  • Access to SQF Quickfire system via a link from SQF website. Secure Login Screen - Map to permissions model (what I can/can’t do) – dictate what data you see
  • Landing page, (My Work) which is configured based on permissions. Here I’m assuming the role of an administrator, therefore having access to all functions. Also important to say that with the limited deployment of notification services in Phase 1this provides overview of key information.
  • SITE: If I am a supplier with >1 certified site, see a list of sites
  • Site Details, where a site can add >1 Contact and >1 Address. So, e.g. a site may have a different Primary address to the Billing address. Also managing the Certification requirements, i.e. selecting the Products within the Food Sector categories. Click on Cert Bodies will …
  • … give me a list of CB’s. (If you’re name does not appear PLEASE do not get upset! We have no favourites!)
  • A Site can then select one or more CB and then either 1. Request Information, or 2. Select Cert Body or ‘Link to’ CB, setting it as current CB. As mentioned before, at this point the CB receives an email that they have been selected by that site as their nominated Certification Body.
  • So, I’m now the aforementioned selected CERTIFICATION BODY. Access the site profile. Reviewing certification requirements and setting up the audits or Audit Group.
  • Setting up an audit within an Audit Group with Audit Start & Finish Date. Audit Status is now ‘In Progress’. (Designed for multi-lingual but Language English only for now)
  • Emailing that audit for that site as a PAF, select Auditor from the list…
  • Automating that process. Creating that file and email which can be templated with body text, and forwarding to the auditor.
  • Auditor receives the email with the attached PAF file, and he/she simply opens the PAF by double-clicking on the attachment…
  • So back to our Online system, which has now been updated instantly & automatically by simply submitting the PAF back. And here Site or Auditor has view on Open Non Conformances.
  • Back to our RGB Foods site, and 5 NC’s against that site
  • NC’s listed by question no. response and corrective action deadline date. Sortable grid view. All grids exported to Excel.
  • Clicking on a NC opens the details view, where we can see the Question, Primary and Secondary response, READ only info re the NC,
  • Site Level: Editable CAR Attachments by site as evidence of action taken
  • SITE: recording action taken and marking as COMPLETE.
  • Auditor closes CAR
  • Once all Criticals AND Majors have been closed, Auditor closes off the Audit
  • Once ALL audits in a Group are Closed, the Group Status AUTOMATICALLY is set to ‘Under Review’
  • CB File Reviewer identifies audit groups that are Under Review & confirms decision re. audit close-off.
  • Clicking on Audit Groups displays an Audit Grid, where you can filter by Audit Status e.g. ‘Under review’ Next steps for the File reviewer would be to Close the Audit Group, establish certificate & set-up next audit
  • The u ser completes the audit on a PC, and generates the audit report through the wizard. This is where the significant time saving is made; historically as much of 50% time is spent report writing
  • Crop
  • Crop
  • A7 Audit Checklists

    1. 1. SQF Audit Checklist Module A7
    2. 2. Learning Outcomes Module A7 <ul><li>Be able to perform an Audit of an SQF System using the SQF Audit Checklists </li></ul>
    3. 3. Introduction <ul><li>SQF Institute provides Audit Checklist to assist in the uniform Audit and inspection of SQF Systems by SQF Auditors. </li></ul><ul><li>Purpose of Audit Checklist is to ensure consistent outcome for each Audit. </li></ul>
    4. 4. Introduction <ul><li>As per condition of the certification body license agreement, SQFI provides Certification Bodies (CBs) Supplier Assessment Formats </li></ul><ul><li>All SQF audits are carried out by registered SQF Auditors using the Supplier Assessment Format designed for the appropriate food sector </li></ul>
    5. 5. Introduction <ul><li>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 </li></ul><ul><ul><li>e.g. “Doc Review Audit SQF 2000 Genl Ops Level 3” if the Supplier is seeking SQF 2000 Level 3 Certification </li></ul></ul><ul><ul><li>e.g. “Doc Review Audit SQF 2000 Genl Ops Level 2” if the Supplier is seeking SQF 2000 Level 2 Certification </li></ul></ul><ul><li>The Document Review and the Site Audits are performed using two separate assessment formats </li></ul>
    6. 6. Introduction <ul><li>A Desk Audit/Document Review is to be completed for new certifications or major changes to existing certifications </li></ul><ul><li>January 09 new Quickfire audit database will be available. Going forward, all 6 th edition SQF audits will be done with that tool. </li></ul>
    7. 7. Issues with Traditional Audits (Inspections) <ul><li>Auditor fatigue </li></ul><ul><li>Highly inefficient </li></ul><ul><li>Not viewed as mission critical </li></ul><ul><li>Poor follow-through, follow-up </li></ul><ul><li>Does not promote continuous improvement </li></ul>
    8. 8. Guidelines <ul><li>Defects identified can be categorized into: </li></ul><ul><ul><li>Workman Error </li></ul></ul><ul><ul><li>Product Defect </li></ul></ul><ul><ul><li>Systems Failure </li></ul></ul><ul><ul><li>Housekeeping Defects </li></ul></ul><ul><ul><li>Construction Defects </li></ul></ul>
    9. 9. Guidelines <ul><ul><li>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 </li></ul></ul><ul><ul><li>The report is used for the Desk Audit, the Certification Audit, the Surveillance Audit and Re-Certification Audit </li></ul></ul>
    10. 10. Rating Criteria <ul><ul><li>4 – Does not meet the criteria (Critical Non-conformance) </li></ul></ul><ul><ul><li>3 – Does not meet the criteria (Major Non Conformity) </li></ul></ul><ul><ul><li>2 - Does not meet the criteria because of minor variations (Minor Non Conformity) </li></ul></ul><ul><ul><li>1 – Meets the criteria, opportunity for improvement </li></ul></ul><ul><ul><li>0 – Fully meets the criteria </li></ul></ul>
    11. 11. Calculating the Rating <ul><ul><li>A - B x 100 = Rating </li></ul></ul><ul><ul><li> A </li></ul></ul>Sum of the individual rating criteria allocated Number of aspects assessed X 4
    12. 12. Recall the definitions of: <ul><li>Critical Non-conformity </li></ul><ul><li>Major Non-conformity </li></ul><ul><li>Minor Non-conformity </li></ul>
    13. 13. Critical Non-conformity <ul><li>Includes but is not limited to: </li></ul><ul><li>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. </li></ul><ul><li>Falsification of records relating to food safety controls and the SQF System. </li></ul>
    14. 14. Critical Non- conformity <ul><li>Includes but is not limited to: </li></ul><ul><li>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. </li></ul><ul><li>ii) Falsification of records relating to food safety controls and the SQF System. </li></ul>
    15. 15. Major Non-conformity <ul><li>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 </li></ul>
    16. 16. Major Non-conformity <ul><li>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. </li></ul>
    17. 17. Minor Non-conformity <ul><li>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. </li></ul>
    18. 18. Opportunity for Improvement (OIP) <ul><li>The facility may meet the definition of the standard, but for that industry they are not practicing “best practices” </li></ul><ul><ul><li>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 </li></ul></ul>
    19. 19. SQFI Food Safety & Management – Portal and eAudit Solutions – <ul><li>Retailer assurance </li></ul><ul><li>Supplier access to their reports </li></ul><ul><li>Simplicity </li></ul><ul><li>Global search </li></ul>
    20. 20. Major Functions <ul><li>Registration/record management </li></ul><ul><ul><li>Buyer, certification body, auditor, supplier/site </li></ul></ul><ul><li>Certification process </li></ul><ul><ul><li>Online process management </li></ul></ul><ul><ul><li>Improved visibility of audit stages, status </li></ul></ul><ul><li>Access to audit & certification data </li></ul><ul><ul><li>Different levels of access for different stakeholders </li></ul></ul><ul><li>Reporting </li></ul><ul><ul><li>Improved management and performance reports </li></ul></ul><ul><li>Notification services </li></ul><ul><ul><li>Auto-alerts for timed-out actions, suspensions, withdrawals . </li></ul></ul>
    21. 21. SQF Quickfire Stakeholder Access to SQF Quickfire Certification Bodies Scheduling CA management Approvals 2 4 6 Public Access Registration Non-Conformance Site / Supplier 1 5 Auditors Audit completion using Quickfire PAF 3 Admin SQF 7 Buyers / Retailers Audit Results visibility Data analysis and trending 8
    22. 22. Local Language Login
    23. 23. Login Screen
    24. 24. My Work
    25. 25. My Work > Sites
    26. 26. Site > Site Details
    27. 27. Site > Site Details > Cert Bodies
    28. 28. Site> Site Details > Cert Bodies
    29. 29. CB > setting up Audit Group
    30. 30. Audit Group > Audit (selection)
    31. 31. Quickfire PAF technology ‘portable audit format’ <ul><li>Lightweight Reader available as a free web download </li></ul><ul><li>PAF file can read, edited and results submitted back to a Quickfire or a compatible Database </li></ul><ul><li>Broaden reach of data capture across extensive international supply bases </li></ul><ul><li>Multi-lingual capability </li></ul><ul><li>Not restricted by poor internet infrastructure; ideal for emerging economies </li></ul><ul><li>Information not limited to audits and assessments </li></ul><ul><li>Common data format </li></ul><ul><li>Aim de-facto standard </li></ul><ul><ul><li>PAF’s generated from Quickfire and e-mailed to single/multiple recipients </li></ul></ul>PAF can be opened and edited by recipients using PAF Reader
    32. 32. Save and Email PAF
    33. 33. Email Template
    34. 34. PAF file attached to email
    35. 35. PAF Reader
    36. 36. PAF Reader > SQF Audit Question Primary Response Secondary Responses Navigation Tree Guidance
    37. 37. PAF Reader > Responses
    38. 38. PAF Reader > Corrective Actions
    39. 39. PAF Reader > Reports
    40. 40. PAF Reader > Submit data
    41. 41. PAF Reader > Submit data
    42. 42. My Work > Open Non Conformances
    43. 43. Site View on Non Conformances
    44. 44. Site > List of Non Conformances
    45. 45. Site Details > Non-conformance > Details
    46. 46. Site > Edit Non Conformances
    47. 47. Site > Close Non Conformance
    48. 48.
    49. 49.
    50. 50. Auditor > Close Audit
    51. 51. CB File Reviewer > ‘Under Review’
    52. 52. Audit Groups > Status > Closed
    53. 53. Audit Report
    54. 54. Audit Summary
    55. 55. Audit Detail
    56. 56. Multi-lingual Capability (Italian)
    57. 57. Beneficial Value <ul><li>Buyers </li></ul><ul><ul><li>Immediate access to audit results & reports, 24/7 </li></ul></ul><ul><ul><li>Confidence in supply chain through high standards, e.g. surveillance audits every 6 months </li></ul></ul><ul><ul><li>Supplier discovery - access to certified sites via live database </li></ul></ul>
    58. 58. Beneficial Value <ul><li>Suppliers </li></ul><ul><ul><li>Provides confidence for their customers (buyers) </li></ul></ul><ul><ul><li>Global exposure to buyers via supplier discovery portal </li></ul></ul><ul><ul><li>Transparent management of audit next steps via online portal </li></ul></ul><ul><ul><li>Ability to use PAF’s for completing their own internal audits or for auditing their suppliers </li></ul></ul>
    59. 59. <ul><li>Answer the questions for this module in the “Auditing SQF Systems Participant Assignment Exercise Book”. </li></ul>