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Who is permitted to carry out Internal Audits?

Audit Policies Procedures

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#1 Jvalentin

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Posted 24 June 2019 - 05:39 PM

Hi All, 

We are a SQF certified company. We have had a shift in positions.  Our back up practitioner has been promoted to another position and will no longer be on the SQF team.

She also handled our Internal Audit.  No one else in the company knows the system well enough to manage an internal audit.

I am currently the SQF Practitioner and also got promoted to over see the facility that I used to manage.  

My questions are:

1.  How would I go about an internal audit of our SQF system.  Since I am the only Practitioner I can not audit myself correct? 

 

2.   Can we get a outside company to do so or does it have to be audited internally?

 

3.  We own another company that is not related that is SQF certified.  Can we have SQF Practitioner to audit us even though she is not part of our team?

 

Thank you in advance

John



#2 The Food Scientist

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Posted 24 June 2019 - 06:21 PM

This is what the code says:

 

2.5.5.2 Staff conducting internal audits shall be trained and competent in internal audit procedures.

2.5.5.4 Where practical staff conducting internal audits shall be independent of the function being audited.

 

Did you undergo an internal auditor training? It's not required but it can help you. 

 

1. You need to have a cross-functional team that can carry out internal audits. You and other members, of course train them. Desk auditing part,  For example you will need someone else to audit the paperwork (SOPs) you formed (have them follow the code and check out everything). Facility audit part, Production manager for example to audit the warehouse and not production part. Warehouse manager to audit production. like 2.5.5.4 says they shall be independent of the function being audited. You can audit every area in the facility, with your team unless its your function. 

2. I don't see the need for bringing an outside company... The code says "staff" .Just have you and other staff like I mentioned before. 

3. As long as she is competent, trained in IA procedures, I don't see why not. She can be part of your IA audit team if you go ahead and include her in it. But what do you mean that you own another company that "is not related" ? 

 

Make sure there is someone scheduling the audit, writing the reports, following up on the CAs and closing them out and ofcourse documenting them and maintaining the records! Make sure it is reviewed and validated annually during Management review meetings. 

 

In my company there is me (SQFP), Operations Manager, Production Manager & Maintenance manager as part of the IA team. 

I hope that helps. 


Everything in food is science. The only subjective part is when you eat it. - Alton Brown.


#3 SQFconsultant

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Posted 24 June 2019 - 06:43 PM

Are you talking about the yearly REVIEW or are you talking about a general internal audit.

 

Normally the SQF Practitioner is joined by other members of senior management and all sign off on the annual review - this can last a day or more, I've been involved in a couple of reviews during pre-audit site visits and the reviews lasted on average 2 days.

 

On the other side of that is your internal audits.

 

For internal audits, everyone invovled in doing internal audits are required to be trained in doing so - while the SQF Practitioner is normally involved in the annual review, this would not be the only person that does them.

 

Either way, you can't be the only person coducting the review nor the internal audits, unless it can be justified by extremely small staff.

 

I,m not fully getting the part about owning a company that is not a part .

 

You can bring in outside assistance to (this is what we sometimes for instance) be a part of your reviews - but for internal audits it is normally staff.


Warm regards,

 

 

Glenn Oster

Glenn Oster Consulting, LLC

 

SQF Development & Implementation Consultants

FSVP Consultants

Yorktown, VA & Arenal, Costa Rica

www.GlennOsterConsulting.com

+1-800-793-7042 (Earth Wide)

 

We help small-to-midsize food, food contact packaging & food logistic businesses to co-develop entire SQF systems and provide consulting audits on facilities and operations to ensure SQF compliance in order to get certified as quickly as possible, so that your company can retain customers and gain new customers that expect certification from their suppliers.

 

Development of SQF Systems - Implementation of SQF - eConsultant - FSVP Development - Internal Auditor Training - this is what we do 24/7


#4 Jvalentin

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Posted 24 June 2019 - 06:54 PM

HI Glenn and Food Scientist, 

I suppose I should clarify a bit.

I am talking about an Internal Audit on our Policies and Procedures annually. 

We are a tea company and it only comprises of a staff of 3 at the facility that is certified. I am the SQF Practitioner and we have a 2 people from the production team and 2 senior managers that are not involved but there for support when needed due to their busy schedule of running the company.

We also own a coffee company and they are SQF certified and was wondering if their practitioner can conduct the audit of our system?

The person that used to conduct the Internal Audit is no longer part of our team.



#5 The Food Scientist

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Posted 24 June 2019 - 06:58 PM

I am confused though, If you don't mind me asking, since you are the SQFP, why don't you include yourself as part of the IA team? Why would you want the other SQFP from the coffee company to do so? 


Everything in food is science. The only subjective part is when you eat it. - Alton Brown.


#6 SQFconsultant

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Posted 24 June 2019 - 07:10 PM

HI Glenn and Food Scientist, 

I suppose I should clarify a bit.

I am talking about an Internal Audit on our Policies and Procedures annually. 

We are a tea company and it only comprises of a staff of 3 at the facility that is certified. I am the SQF Practitioner and we have a 2 people from the production team and 2 senior managers that are not involved but there for support when needed due to their busy schedule of running the company.

We also own a coffee company and they are SQF certified and was wondering if their practitioner can conduct the audit of our system?

The person that used to conduct the Internal Audit is no longer part of our team.

 

That is the annual review (you are welcome to call it your Internal Audit Annual Review if you'd like) - 

 

Sorry to hear the seniors are so busy that they can't support the food safety program - sorry, but tell em that's not an excuse for not being invovled, gee whiz.

 

Why is it that you want to bring in another SQF Practitioner from the other company that would not be that knowledgable about your own system when you are the SQF Practitioner?

 

As a former SQF Auditor, I can see the auditor asking... well, why did you have the other SQF Practitioner to come in to do this, when you are the SQF Practitioner here.

 

And by the way, you an have a regional SQF Practitioner to cover a couple of different locations - but it does create some issues, because each location still needs a back-up person.

 

I'm just not getting why you want to make this into a sticky wicket - your senior people need to be involved in the annual review, to use the lame excuse of being too busy is, well, lame.


Warm regards,

 

 

Glenn Oster

Glenn Oster Consulting, LLC

 

SQF Development & Implementation Consultants

FSVP Consultants

Yorktown, VA & Arenal, Costa Rica

www.GlennOsterConsulting.com

+1-800-793-7042 (Earth Wide)

 

We help small-to-midsize food, food contact packaging & food logistic businesses to co-develop entire SQF systems and provide consulting audits on facilities and operations to ensure SQF compliance in order to get certified as quickly as possible, so that your company can retain customers and gain new customers that expect certification from their suppliers.

 

Development of SQF Systems - Implementation of SQF - eConsultant - FSVP Development - Internal Auditor Training - this is what we do 24/7


#7 Scampi

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Posted 24 June 2019 - 07:15 PM

Annual review should include as many players as possible. You need senior mangement to sign off, and they cannot effectively do so if not involved

 

Having said that, do you expect the senior VP of Ops to sign off that the CCps are effectivly implemented and still capable of maintain the control? Uh, no that's your job, but it is the SVPs job to ensure the smooth food safety operation of the entire facility


Because we always have is never an appropriate response!


#8 freshandsafe

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Posted 11 July 2019 - 07:57 PM

Hi Jvalentin,

 

Internal audit? You can contract someone to do it or bring in staff from the other company. Other people do it, it shouldn't be an issue. Certainly better than not doing it.

 

-Josh Heinrichs

 

 

HI Glenn and Food Scientist, 

I suppose I should clarify a bit.

I am talking about an Internal Audit on our Policies and Procedures annually. 

We are a tea company and it only comprises of a staff of 3 at the facility that is certified. I am the SQF Practitioner and we have a 2 people from the production team and 2 senior managers that are not involved but there for support when needed due to their busy schedule of running the company.

We also own a coffee company and they are SQF certified and was wondering if their practitioner can conduct the audit of our system?

The person that used to conduct the Internal Audit is no longer part of our team.


- Joshua Heinrichs

 

Fresh Safe Food | SQF Implementation and FDA Food Safety Plans

 

Please contact me via email or check my site and let's discuss how I can help. 

 

I would be happy to help in your process.

 

joshua@freshsafefood.com

https://www.freshsafefood.com

001-647-812-2029

 

 


#9 Timwoodbag

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Posted 22 July 2019 - 12:55 PM

Be wary, you do need formal training in internal auditing.  Once someone has been trained, that person may train other members of your team, all must be documented of course.  







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