SQF Audit Checklist

Module A7
Learning Outcomes Module A7

Be able to perform an Audit of an SQF

System using the SQF Audit Checklists

S6 Copyright FMI 2005- All rights reserved

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)

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

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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

Sum of the individual rating criteria allocated

A - B x 100 = Rating
A

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, 20

withdrawals.
 Stakeholder Access to SQF Quickfire

Audit Results
visibility
Data analysis
and trending
Buyers / SQF
8 7 Admin
Retailers

SQF
Quickfire 2 Scheduling
Site / Certification
Supplier Bodies 4 CA management
6 Approvals
1 Registration
Auditors
5 Non-Conformance
Public Access
Audit completion
3 using Quickfire PAF

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Local Language Login

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 Login Screen

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 My Work

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 My Work > Sites

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 Site > Site Details

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 Site > Site Details > Cert Bodies

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 Site> Site Details > Cert Bodies

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 CB > setting up Audit Group

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 Audit Group > Audit (selection)

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 Quickfire PAF technology
portable audit format

PAFs generated from Quickfire and

e-mailed to single/multiple recipients
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
PAF can be opened and edited by Common data format
recipients using PAF Reader Aim de-facto standard

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 Save and Email PAF

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 Email Template

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 PAF file attached to email

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 PAF Reader

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 PAF Reader > SQF Audit

Question

Primary Response

Secondary Responses

Guidance

Navigation Tree

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 PAF Reader > Responses

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 PAF Reader > Corrective Actions

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 PAF Reader > Reports

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 PAF Reader > Submit data

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 PAF Reader > Submit data

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 My Work > Open Non Conformances

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 Site View on Non Conformances

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 Site > List of Non Conformances

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 Site Details > Non-conformance > Details

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 Site > Edit Non Conformances

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 Site > Close Non Conformance

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48
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 Auditor > Close Audit

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 CB File Reviewer > Under
Review

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 Audit Groups > Status > 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
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via live database

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 PAFs 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.