SQF Documentation for Audit
Hello,
Our company is getting ready for an SQF surveillance audit coming up next month, and I was wondering if there is a list or checklist somewhere of all of the documentation that might be needed by the auditor. I know the true answer to that is "everything" but I want a list I can go off of. Last time we were pretty disorganized and running around looking for documents so I want to have as much in the room with us as possible.
Thanks in advance!
Caleb
I have seen those checklists, but they are more general and are basically just the Code turned into a checklist, I was looking for an example list of documents you might need to have. I know it might not be possible to assemble a list like that with how flexible the code is but I just wanted to see if anyone had compiled anything like that.
Did your auditor not send you a list of documentation you will need to present at the desk audit? Our auditors have always preceded their visit with a list of all of the all of the documents they want to see.
Our conference room had a networked computer capable of accessing our virtual drive. For all electronic records, we would just access those documents from the computer. If the auditor wanted to see specific production records, I would go get those upon request.
However, I always had print copies of the following in the conference room (for any audits):
- SOPs
- HACCP Plan (including training certificates)
- Printed copies of training records
- GMP Inspections
- Pest Control
- Calibration records (those that were not electronically stored)
I agree - Being organized, prepared and anticipating what the auditor will need will make the audit much smoother for you and the auditor.
We have a page typed up with the Company Name, Establishment #, Address, Contact information to include management personnel with their contact information, the size of the facility, the number of employees (full time, part time & casual/temporary), average pounds of production per week, when facility was built, facility size, number of HACCP Plans, which SQF Food Safety Code, Sector and Module we fall under, date of last SQF Audit and score, who our certification body is and times of operation. This is very useful to answer the basic questions auditors have. We also provide a basic flow chart and map of the facility outlining the high risk areas.
Usually the auditors follow the flow of the code as that is how the audit form is lined out. They may want to start with your Food Safety Policy and HACCP Plan and then look at
- Management Review Records (monthly and annual to include sign in sheet of members present at each meeting)
- Complaint Management Records to include any trending analysis and and how you addressed them (investigation, corrective action as required and responses)
- Crisis Management training and drill
- Organization Chart
- Scope of Certification
- Documents Register
- Test Requests and results of any testing of test products
- Raw Material Specifications (usually they pick a few items and you have to produce the documentation for them)
- Raw Materials Register(s)
- Raw Materials Risk Assessment
- Contract with any Contract Service Providers, their GFSI Certification and agreed to specs, and any testing
- Contract Manufacturers Register, a contract or two, documentation you have reviewed and evaluated them annually and any related training records
etc... (hopefully you have the idea) - Just follow the code thinking of the records/documentation you have to support each element and you will be fine.
Ah yes! I forgot a couple items we'd take in to the audit.
- Quality Manual w/Quality Policy and Org Chart
- Recall Manual
Most other items we kept on our network. If you can get a central hub where you can show your auditor electronic documents, this is awesome. Some items an auditor is best having printed copies so they can read them more effectively, but a lot of items they just want to see that you have in place. I have done audits in the past where we had a whole table full of mess that had to be put away after the audit. On top of that, we couldn't really file things during the audit, because some of the files were on the audit table.
Otherwise, Mulan1010 brings up a lot of good points for your checklist as well.
Thanks everyone! The Auditor did send us a list, but it seemed a little light, and I know during the last audit they asked for a lot more. I'll work off of these lists and then I think you're right, I'm just going to have to go through each section of code and think about it.
Best wishes!
Caleb