Audit Checklist 2000 Level 3

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<p>SQFI 2000 Self-AssessmentDocument and Facility Audit Checklist SQF 2000 Level 3</p> <p>2nd EditionJULY 2010 Safe Quality Food Institute2345 Crystal Drive, Suite 800 Arlington, VA 22202 USA 202-220-0635 www.sqfi.com</p> <p>SQF Institute is a division of the Food Marketing Institute (FMI).</p> <p>Audit Checklist ReportSQF2000 Document Audit Level 3 v2.0</p> <p>0 GeneralQuestion 0.1 People Present at the Opening Meeting (Please list names and roles in the following format Name: Role separated by comas) Ref Category Response Notes</p> <p>Question 0.2 People Present at the Closing Meeting (Please list names and roles in the following format Name: Role separated by comas)</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>Question 0.3 Date Audit Started</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>Question 0.4 Date Audit Finished</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>Question 0.5 Audit Duration (hrs)</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>Produced by Quickfire Muddy Boots Software Ltd 2010 Page 1 of 55 Print Date Tuesday, September 14, 2010 Printed Language English (United States) Audit Checklist Report Version 6.SH.55292.1300.3</p> <p>Question 0.6 Auditor Description of Facility (Please provide facility description include # of employees, size, production schedule, general layout, and any additional pertinent details</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>Question 0.7 Auditor Recommendation (0) Delay facility audit until non-conformances are corrected and verified (0) Proceed with facility audit (0) Suspend Certification (0) Withdraw Certification</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>4.1.1 Management PolicyQuestion 4.1.1.1 Has Senior Management prepared a policy statement that outlines the organization's commitment to safe, quality food, details compliance with customer and regulatory requirements and details the commitment for food safety and quality objectives. (2) Commitment to continual improvement of food safety management system not defined (2) Commitment to continual improvement of quality management system not defined (2) Commitment to establish and review food safety objectives not addressed (2) Commitment to establish and review quality objectives not addressed (2) Commitment to supply quality food not defined (2) Commitment to supply safe food not defined (2) Methods for provision of safe food not definedProduced by Quickfire Muddy Boots Software Ltd 2010 Page 2 of 55 Print Date Tuesday, September 14, 2010 Printed Language English (United States) Audit Checklist Report Version 6.SH.55292.1300.3</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>(3) No Policy Statement</p> <p>Question 4.1.1.2 Is the policy statement signed by senior management, made available in appropriate languages and displayed and communicated appropriately (2) Policy Statement not communicated to all staff (2) Policy Statement not displayed in a prominent position (2) Policy Statement not made available in language understood by all staff (2) Policy statement not signed by senior manager</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>4.1.2 Management ResponsibilityQuestion 4.1.2.1 Does the reporting structure describe who has responsibilities for food safety and quality (2) Interrelationship for food safety and quality not defined (2) Not communicated within the organization (2) Those responsible for food safety not identified (2) Those responsible for quality not identified (3) No organizational reporting structure Ref Category Response Notes</p> <p>Question 4.1.2.2 Has Senior Management allotted appropriate resources to the implementation of SQF 2000 by designating an SQF Practitioner with appropriate responsibility over the program (2) Adequate resources are not available to achieve the producers food safety and quality objectives</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>Produced by Quickfire Muddy Boots Software Ltd 2010 Page 3 of 55 Print Date Tuesday, September 14, 2010 Printed Language English (United States) Audit Checklist Report Version 6.SH.55292.1300.3</p> <p>(2) Adequate resources are not available to support the development of the SQF 2000 System (2) Adequate resources are not available to support the implementation of the SQF 2000 System (2) Adequate resources are not available to support the maintenance of the SQF 2000 System (2) Adequate resources are not available to support the ongoing improvement of the SQF 2000 System</p> <p>Question 4.1.2.2.i Has the SQF Practitioner led the development and implementation of Food Safety Fundamentals (4.4.2), Food Safety Plan (4.4.3), and the Food Quality Plan (4.4.4) (2) SQF Practitioner does not have responsibility and authority to lead the development and implementation of the Food Quality Plan outlined in 4.4.4 (2) SQF Practitioner does not have responsibility and authority to lead the development and implementation of the Food Safety Fundamentals outlined in 4.4.2 (2) SQF Practitioner does not have responsibility and authority to lead the development and implementation of the Food Safety Plan outlined in 4.4.3 (2) SQF Practitioner does not have responsibility and authority to oversee the development implementation, review and maintenance of the SQF 2000 System (2) SQF Practitioner does not have the responsibility or authority to take appropriate action to ensure the integrity of the SQF 2000 System (2) SQF Practitioner has not communicated essential information to all staff (2) SQF Practitioner has not effectively communicated all essential information to relevant staff (3) No SQF Practitioner designated by the producer</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>Produced by Quickfire Muddy Boots Software Ltd 2010 Page 4 of 55 Print Date Tuesday, September 14, 2010 Printed Language English (United States) Audit Checklist Report Version 6.SH.55292.1300.3</p> <p>Question 4.1.2.3 Has the training needs of the organization's personnel been defined and documented to carry out those functions affecting product legality, safety, and quality (2) Responsibility for establishing the training needs of the organization has not been defined and documented (2) Responsibility for implementing the training needs of the organization has not been defined and documented</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>Question 4.1.2.5 Have job descriptions for those responsible for food safety and quality been documented and include a provision to cover for the absence of key personnel (2) Job descriptions do not include provision to cover for the absence of key personnel (2) Job descriptions for those responsible for food safety are not documented (2) Job descriptions for those responsible for quality are not documented</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>4.1.3 FOOD SAFETY AND QUALITY MANAGEMENT SYSTEMQuestion 4.1.3.1 Has a policy manual been documented that outlines the methods of the organization to meet the SQF 2000 standard (2) Food Safety and Quality Manual is not available to relevant staff (2) Food Safety and Quality Manual is not maintained (3) No documented Food Safety and Quality Manual Ref Category Response Notes</p> <p>Produced by Quickfire Muddy Boots Software Ltd 2010 Page 5 of 55 Print Date Tuesday, September 14, 2010 Printed Language English (United States) Audit Checklist Report Version 6.SH.55292.1300.3</p> <p>Question 4.1.3.1.i Does the policy manual include a summary of the organization's food safety and quality policies and methods it will apply to meet SQF 2000 standard, policy statement and organization chart, and scope of the certification of SQF 2000 (2) A list of products under the scope of certification is not defined (2) A list of the products covered under the Scope of Certification is not included (2) Organization Chart is not included (2) Other procedures and documentation necessary to support the development, implementation, maintenance and control of the SQF 1000 System is not included (2) Policy Statement is not included (2) Scope of the Certification is not included (2) The list of products under the scope of certification is not complete (2) The list of products under the scope of certification is not current (3) The FS&amp;QM does not include Food Quality Plans (3) The FS&amp;QM does not include Food Safety Fundamentals (3) The FS&amp;QM does not include Food Safety Plans</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>Question 4.1.3.2 Is there a food safety manual that is documented, maintained, and available to staff that includes all relevant food safety program information required by SQF 2000 (2) The food safety manual is not complete, several key programs are not included (2) The food safety manual is not current, some documented programs are not up to date (3) No food safety manual has been created</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>Produced by Quickfire Muddy Boots Software Ltd 2010 Page 6 of 55 Print Date Tuesday, September 14, 2010 Printed Language English (United States) Audit Checklist Report Version 6.SH.55292.1300.3</p> <p>Question 4.1.3.3 Is there a food quality manual that is documented, maintained, and available to staff that includes all relevant product quality program information required by SQF 2000 (2) The food quality manual is not complete, several key programs are not included (2) The food quality manual is not current, some documented programs are not up to date (3) No food quality manual has been created</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>4.1.4 Management ReviewQuestion 4.1.4.1 Does the reviews of the SQF 2000 system by senior management include policies, internal and external audit findings, corrective actions, and customer complaints (3) The Producer is not responsible for reviewing the SQF 2000 system in its entirety Ref Category Response Notes</p> <p>Question 4.1.4.2 Is the SQF 2000 system in its entirety reviewed at least annually (3) Review of SQF 2000 system is not reviewed at least annually</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>Question 4.1.4.3 Are the food safety fundamentals (4.4.2), food safety plan (4.4.3) and food quality plan (4.4.4) reviewed when any changes are implemented that could have an impact on the facility's ability to deliver safe, quality food (2) Changes implemented which have major impact on the ability to deliver quality food do not trigger a review of Food Quality Plans (2) Changes implemented which have major impact on the ability to deliver safe food do not trigger a review of Food Quality Plans</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>Produced by Quickfire Muddy Boots Software Ltd 2010 Page 7 of 55 Print Date Tuesday, September 14, 2010 Printed Language English (United States) Audit Checklist Report Version 6.SH.55292.1300.3</p> <p>(2) Changes which have major impact on the ability to deliver quality food do not trigger a review of the Food Safety Fundamentals (2) Changes which have major impact on the ability to deliver quality food do not trigger a review of the Food Safety Plan (3) Changes which have major impact on the ability to deliver safe food do not trigger a review of the Food Safety Fundamentals (3) Changes which have major impact on the ability to deliver safe food do not trigger a review of the Food Safety Plan</p> <p>Question 4.1.4.4 Is the SQF Practitioner responsible for validating changes to the food safety fundamentals (4.4.2), food safety plan (4.4.3), and food quality plan (4.4.4) that have an impact on the facility's ability to deliver safe, quality food (2) Major changes to Food Safety Fundamentals are not validated by an SQF Practitioner (2) Major changes to the Food Quality Plan are not validated by an SQF Practitioner (2) Major changes to the Food Safety Plan are not validated by an SQF Practitioner</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>4.1.5 Complaint ManagementQuestion 4.1.5.1 Are the methods and responsibility for handling and investigating the cause and resolution of complaints from customers and authorities documented and implemented (2) Methods for handling customer complaints are not documented (2) Methods for handling customer complaints are not implemented (2) Methods for investigating customer complaints are not documented (2) Methods for investigating customer complaints are not implemented Ref Category Response Notes</p> <p>Produced by Quickfire Muddy Boots Software Ltd 2010 Page 8 of 55 Print Date Tuesday, September 14, 2010 Printed Language English (United States) Audit Checklist Report Version 6.SH.55292.1300.3</p> <p>(2) Responsibilities for handling customer complaints are not documented (2) Responsibilities for investigating customer complaints are not documented</p> <p>Question 4.1.5.2 Are complaints analyzed by personnel knowledgeable about the incident (2) Records of the customer complaints not maintained (2) Records of the investigation are not maintained</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>4.1.6 Business Continuity PlanningQuestion 4.1.6.1 Is there a business continuity plan that is based on the known threats to the business that outlines the methods and responsibility of the organization to cope with a business crisis that may impact on the facility's ability to deliver safe quality food (2) Business continuity plan not complete, some methods and responsibility not defined (2) Senior Management has not supported the business continuity plan (3) Business continuity plan not developed Ref Category Response Notes</p> <p>Question 4.1.6.2.i Does the business continuity plan include a provision that describes senior management responsibility in the event of a crisis management incident, name a crisis management team, set adequate controls to assure food safety and quality, measures to identif (2) Controls for business continuity plan has not considered food quality (2) Controls for business continuity plan has not considered food safety</p> <p>Ref</p> <p>Category</p> <p>Response</p> <p>Notes</p> <p>Produced by Quickfire Muddy Boots Software Ltd 2010 Page 9 of 55 Print Date Tuesday, September 14, 2010 Printed Language English (United States) Audit Checklist Report Version 6.SH.55292.1300.3</p> <p>(2) Crisis contact list is not current (2) Crisis management team has not been trained (2) No crisis contact list exists (2) No crisis management team exists (2) No measures are defined for the identification of product affected exist within business continuity plan (2) No measures are defined for the isolation of product affected exist within business continuity plan (2) No measures are defined to verify acceptability of food prior to release (2) No responsibility for communication with authorities defined (2) No responsibility for communication with external organizations defined (2) No responsibility for communication with Internal sources defined (2) Senior management does not have responsibility for business continuity plan (2) Sources of expert or legal advice are not defined for crisis contact team</p> <p>Question 4.1.6.3 Is the business continuity plan reviewed, tested, and verified at least annually (2) The business continuity plan is not reviewed annually (2) The business continuity plan is not tested annually (2) The business continuity plan is no...</p>