36 replies to this topic

[shabani]

Hi,

Me again and looking for an Internal Audit checklist and procedure for the SQF2000 implementation.
Thanks

[Dr Ajay Shah]

Hi Shabani,

You can create your own Internal checklist using the SQF 2000 code which is freely available from the following website: www.sqfi.com
and following the system requirements. this is exactly what i nhave done and it has been working fine for me. I have been using this for the past 11 years with SQF 2000 systems.

good luck

Ajay Shah

[Tony-C]

Hi,

Me again and looking for an Internal Audit checklist and procedure for the SQF2000 implementation.
Thanks

A checklist is available from SQF here. At $25 it is reasonable priced and will save you a lot of time.

Kind regards,

Tony

[shabani]

U mran all sections of sqf200 like section 4, 5, and 6 put ina table and another column to the right to say acceptable or not acceptable?

Hi Shabani,

You can create your own Internal checklist using the SQF 2000 code which is freely available from the following website: www.sqfi.com
and following the system requirements. this is exactly what i nhave done and it has been working fine for me. I have been using this for the past 11 years with SQF 2000 systems.

good luck

Ajay Shah

[Charles.C]

Dear All,

I haven't checked the SQF guidance doc. but this discussion seems to be touching what are sometimes regarded as separate entities - system audit, internal audit, an issue mentioned in several places on this forum. It depends on SQF of course, this standard is beginning to come over as a bit "quirky" in the design of some areas IMO.

Rgds / Charles.C

[shabani]

I couldn't find it

A checklist is available from SQF here. At $25 it is reasonable priced and will save you a lot of time.

Kind regards,

Tony

[shabani]

Just frustrated....................I don't like this SQF, so many things and so little information. Now someone told me that the internal audit has to be in a question form and I have to interview departments and it has to be weekly for each department. I thought it would be a yearly audit!

Dear All,

I haven't checked the SQF guidance doc. but this discussion seems to be touching what are sometimes regarded as separate entities - system audit, internal audit, an issue mentioned in several places on this forum. It depends on SQF of course, this standard is beginning to come over as a bit "quirky" in the design of some areas IMO.

Rgds / Charles.C

Edited by shabani, 05 March 2011 - 03:37 PM.

[Dale P]

I don't like this SQF, so many things and so little information. Now someone told me that the internal audit has to be in a question form and I have to interview departments and it has to be weekly for each department. I thought it would be a yearly audit!

Who is the someone who told you that? For better or worse SQF does not really dictate how you implement most aspects of your FSMS or what format, but that you do address certain things (like internal auditing). The frequency and methods should be appropriate for your operation.

[stsqf]

I haven't checked the SQF guidance doc. but this discussion seems to be touching what are sometimes regarded as separate entities - system audit, internal audit, an issue mentioned in several places on this forum.

This is what we have found to work the best - keeping internal audits (looking at food safety issues with infrastructure, equipment, maintenance, GMPs, etc.) and system audits (document and record control, calibrations, traceability, etc.) separate. Internal audits are done monthly and system audits are done quarterly.

But again - most important thing to remember is that each company and their products are different so you need to establish the frequency based on the risks associated with products and facility - you can't just take someone else's word that they need to be done every week, every month, etc. (as long as you can verify that the frequency you are performing them is effective, the auditor should accept your program).

[Tony-C]

This is what we have found to work the best - keeping internal audits (looking at food safety issues with infrastructure, equipment, maintenance, GMPs, etc.) and system audits (document and record control, calibrations, traceability, etc.) separate. Internal audits are done monthly and system audits are done quarterly.

The SQF checklist is a gap analysis checklist. All of your food safety and quality management system should be audited based on risk, issues you have in each particular area and findings of previous audits including document/record control/calibration etc.

Regards,

Tony

[MQA]

Hi shabani,

You can find the SQF for $25 at: http://www.sqfi.com/documents/

It is called: "SQF 2000 Document and Facility Review Checklist"

It's a great document. I purchased it, converted it into a Microsoft Excel spreadsheet and added extra questions to it. My version is 64 pages long (I know!) but it is landscape in size to allow for responses against each query and to allow for a rating and suggestions for improvements.

It serves as an excellent Internal Audit Checklist. I recommend to my clients that internal audits should be conducted every six months. But of course, it is dependent on your business operations and customer requirements.

I have Microsoft Word documents to act as CARs that are raised against the Internal Audit and a final Internal Audit Report (one page long only). It took a little while to develop and is one of my babies. I love the SQF program. I find it works really well.

In regards to weekly checks, I had created a different form for that. This is only two pages long . I call this one GMP Audit Checklist. A QA Administrator walks around the premises to ensure all that is in theory is practiced.

[shabani]

Thanks a lot. My understanding was;

we have
1, a annual re assessment (Management review)
2, Monthly Self assessment (SQF 2000 Document and facility review checklist)
3, Internal audit (Quarterly, as per SQF 2000 Code)

The one I'm looking for is the third one which is including Audit schedule andquestions for interviewing personnel, including management (this is to validate our training works well and everyone understands their duty.

Please comment

Hi shabani,

You can find the SQF for $25 at: http://www.sqfi.com/documents/

It is called: "SQF 2000 Document and Facility Review Checklist"

It's a great document. I purchased it, converted it into a Microsoft Excel spreadsheet and added extra questions to it. My version is 64 pages long (I know!) but it is landscape in size to allow for responses against each query and to allow for a rating and suggestions for improvements.

It serves as an excellent Internal Audit Checklist. I recommend to my clients that internal audits should be conducted every six months. But of course, it is dependent on your business operations and customer requirements.

I have Microsoft Word documents to act as CARs that are raised against the Internal Audit and a final Internal Audit Report (one page long only). It took a little while to develop and is one of my babies. I love the SQF program. I find it works really well.

In regards to weekly checks, I had created a different form for that. This is only two pages long . I call this one GMP Audit Checklist. A QA Administrator walks around the premises to ensure all that is in theory is practiced.

[Dr Ajay Shah]

As there is a ready made checklist available at $25 is very good value and it will save you heaps of time. Otherwise you can design your own which is good in that it is somthing that you have designed and you will get to understand the SQF 2000 programme a lot of better. As I indicated that I have been working with SQF 2000 for over 10 years now.

Regards

Ajay

[MQA]

Ok. With your very first comment:

“Me again and looking for an Internal Audit checklist and procedure for the SQF2000 implementation.”

• Internal Audit Checklist = What I and others here discussed above
• Procedure = I take it you haven’t written one of these yet? Do you have a copy of the SQF 2000 with Guidance? It explains in further detail exactly what is required in an Internal Audit Procedure. Have attached a copy for you. Head to page 39.

In your words:

we have

1, a annual re assessment (Management review)

2, Monthly Self assessment (SQF 2000 Document and facility review checklist)

3, Internal audit (Quarterly, as per SQF 2000 Code)


The one I'm looking for is the third one which is including Audit schedule and questions for interviewing personnel, including management (this is to validate our training works well and everyone understands their duty.

Audit definitions:

• External Audit = outsider of the business audits your program against a recognised standard
• Internal Audit = insider of the business audits the program against practices: records, tests, etc

Therefore, only you can better define the type of questions that need to be asked of your personnel. Have their job descriptions been documented? Are their job instructions documented? Audit them against these in regards to food safety and quality assurance, etc.

How to create an Audit Schedule? Well, first document your Internal Audit Procedure. The Audit Schedule will flow from there. As I have said previously, I conduct Internal Audits every six months of the Food Safety & Food Quality Management System (the food safety bible). But all records, reports, etc are audited quarterly.

Attached is what an Internal Audit Schedule and a Verification Schedule can look like.

Hope you find them handy to lead you in the right direction.

Attached Files

•  SQF 2000 Code ed 06 - with help.pdf   1.11MB   472 downloads
•  Internal Audit Schedule.pdf   137.81KB   675 downloads

[Simon]

Thanks for sharing JAKMQA.

[Tony-C]

I recommend to my clients that internal audits should be conducted every six months.

Hi JAKMQA,

You have posted some useful info and docs. but could I suggest that internal audits should be conducted at a frequency based on risk (also maybe previous history, knowledge of issues etc.).

Also I would like to know if the SQF standard is widely used in Australia or you are looking for work in the USA?

Regards,

Tony

Edited by Tony-C, 21 March 2011 - 02:13 AM.

[Simon]

Also I would like to know if the SQF standard widely is used in Australia or you are looking for work in the USA?

I think SQF originated in Qz.

[SS2010]

Hi Jannet

YOU ARE JUST LEGEND!!

Would please advice me ,with the internal audit on SQF elements is it mandatory that there should be internal audit team,we are small business not too many ppl,so what should we do in that case!!?

Ok. With your very first comment:

“Me again and looking for an Internal Audit checklist and procedure for the SQF2000 implementation.”

• Internal Audit Checklist = What I and others here discussed above
• Procedure = I take it you haven’t written one of these yet? Do you have a copy of the SQF 2000 with Guidance? It explains in further detail exactly what is required in an Internal Audit Procedure. Have attached a copy for you. Head to page 39.

In your words:

we have

1, a annual re assessment (Management review)

2, Monthly Self assessment (SQF 2000 Document and facility review checklist)

3, Internal audit (Quarterly, as per SQF 2000 Code)


The one I'm looking for is the third one which is including Audit schedule and questions for interviewing personnel, including management (this is to validate our training works well and everyone understands their duty.

Audit definitions:

• External Audit = outsider of the business audits your program against a recognised standard
• Internal Audit = insider of the business audits the program against practices: records, tests, etc

Therefore, only you can better define the type of questions that need to be asked of your personnel. Have their job descriptions been documented? Are their job instructions documented? Audit them against these in regards to food safety and quality assurance, etc.

How to create an Audit Schedule? Well, first document your Internal Audit Procedure. The Audit Schedule will flow from there. As I have said previously, I conduct Internal Audits every six months of the Food Safety & Food Quality Management System (the food safety bible). But all records, reports, etc are audited quarterly.

Attached is what an Internal Audit Schedule and a Verification Schedule can look like.

Hope you find them handy to lead you in the right direction.

[esquef]

Hi shabani,

You can find the SQF for $25 at: http://www.sqfi.com/documents/

It is called: "SQF 2000 Document and Facility Review Checklist"

It's a great document. I purchased it, converted it into a Microsoft Excel spreadsheet and added extra questions to it. My version is 64 pages long (I know!) but it is landscape in size to allow for responses against each query and to allow for a rating and suggestions for improvements.

It serves as an excellent Internal Audit Checklist. I recommend to my clients that internal audits should be conducted every six months. But of course, it is dependent on your business operations and customer requirements.

I have Microsoft Word documents to act as CARs that are raised against the Internal Audit and a final Internal Audit Report (one page long only). It took a little while to develop and is one of my babies. I love the SQF program. I find it works really well.

In regards to weekly checks, I had created a different form for that. This is only two pages long . I call this one GMP Audit Checklist. A QA Administrator walks around the premises to ensure all that is in theory is practiced.

Although the link for the $25 checklist is titled "SQF 2000 Document and Facility Review Checklist" the checklist is actually titled "SQF 2000 Supplier Self-Assessment Report Format." I don't know if it's true, but I brought this to a 2 day "Implementing QSF" seminar put on be Silliker, and the trainers said that this is exactly the same checklist used by the SQF auditor. It can only be sent electronically, and you have be careful if you're going for Level 2 because they sent me Level 3 and I don't recall anywhere in the ordering process where you check which version you want (a couple of emails remedied the situation for me and I now have Levels 2 and 3).

Edited by esquef, 25 March 2011 - 03:34 PM.

[Cathy]

Keep in mind that an internal audit can be amazingly helpful and not just a burden. It should cover the code, but more importantly it should cover your systems. You may have programs in place not specifically named in the code and it will benefit you to review these routinely. Conduct internal audits based on risk and need. Ask your work force - in what areas do you struggle or do you think we may ahave opportunities? Audit those first.

[Cathy]

I like your form for the schedule! Nice. I would suggest folks be careful with use of the word, 'critical' or 'critical limit' though unless it is actually associated with a HACCP critical control point.

[Dr Ajay Shah]

Hi Shabani,

If you are a small company then you should be able to cover all the elements of the code over two days. In a middle sized company one can delegate a few simple tasks whilst you can cover the major tasks.


The information posted by JAKMQA is very is useful to people but I always belive in doing one myself as one can understnd the system a lot better.

Cheers

Ajay

[MQA]

Hi Simon,

Thanks for the clapping smiley


Hi Tony C,

Thanks for the comments.

Agreed internal audits should be conducted on a frequency based on risk and so forth. And the minimum requirement is every twelve months. I just find as part of continuous improvement, it is easier to conduct internal audits more regularly, particularly on reports, trend reports, and production records.

For instance, it is handy to conduct regular audits on production records: any issues can be discussed with the production team to ensure that when mock recalls are conducted, are done so with correct documentation. I also find that food manufacturers have a general high turnover of process staff, therefore regular checks on record keeping is a high priority for the mock recalls/traceability projects.

But that’s just me. Granted, I have been called a “Nazi”, “anal” or “too organised” on how I keep my food safety management systems.

SQF is slowly growing recognition in Australia. One of our biggest retailers (Coles Supermarkets) requires all its suppliers to be either SQF or BRC certified. I only look for work in the lucky country down under.

And Simon,

Yes the SQF standard was originally developed by Aussies prior to the Institute’s purchase of it.

Hi SS2010,

It is strongly recommended that one does not audit their own work. But sometimes, this cannot be helped when staff is limited in a business.

Here are the SQF requirements for Internal Audit.

4.5 Verification > 4.5.5 Internal Audits >

4.5.5.1

The methods and responsibility for scheduling and conducting internal audits to verify the effectiveness of the SQF 2000 System including facility and equipment inspections, Support Programs, Food Safety Plans, Food Quality Plans and legislative controls shall be documented and implemented. Therefore, the requirements are:

• Is there a documented procedure?
• Is responsibility defined?
• Is there a schedule?
• Is the scope defined?
• Is the frequency defined?
• Are Facility Inspections part of the internal audit?
• Are the Support Programs part of the internal audit?

• Are the Food Safety plans part of the internal audit?
• Are the Food Quality plans part of the internal audit?
• Is there a method for Corrective Action?
• Is there a method for communicating audit results to relevant management staff?

• Are the Corrective Actions implemented?
• Are records of all internal audits maintained?
• Are records of all corrective actions from the internal audits maintained?

4.5.5.2

• Have staff been trained in Internal Auditing?

4.5.5.3

• Is the internal auditor independent from Food Safety implementation / maintenance?

Also, as per Cathy and Dr Ajay Shay: each internal audit needs to be personalised to your business. Read the $25 but create your own internal audit bible.

Phew, that's probably my longest response to date. How did I go?

[SS2010]

Thanks a lot Jannet,

Much much appreciated...

Is it mandatory to have external training course for internal audit ??

Thanks

Hi Simon,

Thanks for the clapping smiley


Hi Tony C,

Thanks for the comments.

Agreed internal audits should be conducted on a frequency based on risk and so forth. And the minimum requirement is every twelve months. I just find as part of continuous improvement, it is easier to conduct internal audits more regularly, particularly on reports, trend reports, and production records.

For instance, it is handy to conduct regular audits on production records: any issues can be discussed with the production team to ensure that when mock recalls are conducted, are done so with correct documentation. I also find that food manufacturers have a general high turnover of process staff, therefore regular checks on record keeping is a high priority for the mock recalls/traceability projects.

But that’s just me. Granted, I have been called a “Nazi”, “anal” or “too organised” on how I keep my food safety management systems.

SQF is slowly growing recognition in Australia. One of our biggest retailers (Coles Supermarkets) requires all its suppliers to be either SQF or BRC certified. I only look for work in the lucky country down under.

And Simon,

Yes the SQF standard was originally developed by Aussies prior to the Institute’s purchase of it.

Hi SS2010,

It is strongly recommended that one does not audit their own work. But sometimes, this cannot be helped when staff is limited in a business.

Here are the SQF requirements for Internal Audit.

4.5 Verification > 4.5.5 Internal Audits >

4.5.5.1

The methods and responsibility for scheduling and conducting internal audits to verify the effectiveness of the SQF 2000 System including facility and equipment inspections, Support Programs, Food Safety Plans, Food Quality Plans and legislative controls shall be documented and implemented. Therefore, the requirements are:

• Is there a documented procedure?
• Is responsibility defined?
• Is there a schedule?
• Is the scope defined?
• Is the frequency defined?
• Are Facility Inspections part of the internal audit?
• Are the Support Programs part of the internal audit?

• Are the Food Safety plans part of the internal audit?
• Are the Food Quality plans part of the internal audit?
• Is there a method for Corrective Action?
• Is there a method for communicating audit results to relevant management staff?

• Are the Corrective Actions implemented?
• Are records of all internal audits maintained?
• Are records of all corrective actions from the internal audits maintained?

4.5.5.2

• Have staff been trained in Internal Auditing?

4.5.5.3

• Is the internal auditor independent from Food Safety implementation / maintenance?

Also, as per Cathy and Dr Ajay Shay: each internal audit needs to be personalised to your business. Read the $25 but create your own internal audit bible.

Phew, that's probably my longest response to date. How did I go?

[Dr Ajay Shah]

Hi SS2010,

Yes it is good to have conducted an internal auditing course with an accredited and reputable training company as you will not have any issues from the external auditor.

I hope this helps.

Regards

Ajay

Edited by Dr Ajay Shah, 06 April 2011 - 04:53 AM.