Preparing an SQF Audit User Guide
Contents
1. 2012 Re certification Audit Tucan Peanuts Scheduled Audits Audit Profile Recertification Facility Audit Level 2 Lead Auditor Kris Eagle Comments Add View History NOTE The Lead Auditor will not be able to be edited after the audit plan has been approved Ensure that this information is in fact correct before approving the audit plan 24 A Phase Dialogue box will appear for you If ready to approve the audit plan select OK Phase Dialog Please select the next phase Send To Comment Approved Cancel Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved To notify a contact follow step 17 Page 22 of 34 25 Once selecting OK you will be brought back out into the Audits application The audit plan has now moved from My Open Audit Plan to Approved under Audit Plans as demonstrated below fat Reliance Home J 1 6 Search Application s Advanced Robin Goode America New York Close Help cen 2 Audit Plans 3 Approved i 1 My Open Audits 2 Open by Supplier 3 Open by Assigned os 4 My Calendar 5 Closed by Supplier 2 Audit Plans i 1 My Open Audit Plan ca Tucan Peanuts Sep 24 2012 8 00 00 AM Sep 25 2012 4 00 00 PM Kris Eagle Recertification Facility Audit Level 2 2012 Re certification Audit Tucan Peanuts f 2 Pending _ C New Document amp Refres2. Re certification Facility Audit Madala 44 09 Current Audit Add Record 14 Select Save at the bottom of your screen or in the Reliance toolbar at the top of your screen Save amp Close 15 At this point you can route the audit plan from the Draft phase to the Approval phase To complete this locate the phase tracker within the Audit Plan then select Approval as demonstrated below Reference the Audit Plans and Audits section of this manual for information on the different Audit Plan phases 16 Once having selected Approval you will notice pop up system feature titled a Phase Dialogue box This box is a feature in which you are able to notify other Reliance users any time you phase any audit plan audit action item or certificate forward Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 17 of 34 AUDIT PLAN PHASE DIALOGUE BOX Send To this field documents which phase you are routing the phase tracker to Within an audit plan you will be routing the phase tracker to the Approval phase then eventually the Approved phase Approval should have pre populated for you within this field You will not need to alter this field Due Date this field designates a date for when the approval will need to be reviewed The system will automatically designate this date Assign To this fie
3. fields The exact Time Zone of the audit can also be entered Start Date and Time End Date and Time September 202 Help September Hour 22 10 PM Minute 45 Time Zone GMT 5 00 Eastern Standard Time America N Time Zone GMT 5 00 Eastern Standard Time America N Cancel Clear OK Cancel Clear 13 Once having selected a Start Date and Time and End Date and Time you may now review the information you have placed into the audit plan thus far NOTE If you are completing a certification audit rather than a recertification audit you will be able to add both a document audit and facility audit within one audit plan Simply select the correct document audit profile first fill out the appropriate information then select Add Record to create a new audit sub form You will then be able to create the facility audit profile NOTE If you are also completing an Addendum you will be able to add it to this audit plan Simply select Add Record to create a new audit sub form You will then be able to create the addendum audit profile Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 16 of 34 Scheduled Audits x Wore Audit Profile Lead Auditor Kris Eagle a End Date and Time Checklists Start Date and Time Re certification Facility Audit sep 24 2012 8 00 00 AM EDT Sep 25 2012 4 00 00 PM EDT Module 2 Level 2 El
4. 2 intended purpose Validation of raw materials and ingredients shall include certificate of conformance or certificate of analysis or sampling and testing Validation of packaging materials shall include certification that all wow ee m ee wt ae wt onile Lo md wee ete 2 tle 4 Once selecting OK the items you selected as not applicable will automatically be marked by the system Click Refresh to view the changes fal Reliance Home T Audits Audit Plan 01033 Audits 01001 x You will also notice that there is an option to create new ad hoc questions These questions are not scored and could be used for informational or training purposes Note that although not scored they will appear in the report that is created by the Reliance system Add New ltem Create New Ad hoc ltem Preparing an SQF Audit User Guide Copyright O Food Marketing Institute 2012 All Rights Reserved Page 30 of 34 5 To save and close out of this checklist simply select Save and Close Save amp Close nas 017 To edit any of your other checklists repeat the Steps above If the audit is ready to be performed and routed to the audit team then continue to the Routing the Audit to be Performed section of this manual Routing an Audit to be Performed EXAMPLE SQFI RELIANCE USERS Robin Goode ACB Certification Body Account Administrator Kris Eagle SQF Auditor FSC 13
5. Sperry Kline Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 26 of 34 6 If no further edits need to be made select Save at the bottom of the audit form to which the selected checklists from the audit plan will transfer to the bottom of the audit NOTE Once the audit has been saved no edits can be made to the checklists Make sure that all checklists are correct before saving the audit save amp Close Cancel Audit Information Audit Number 01001 supplier Lead Auditor secondary Auditors Tucan Peanuts Kris Eagle Sperry Kline Audit Type Start Date and Time End Date and Time Recertification Facility Audit Level 2 Sep 24 2012 8 00 00 AM EDT F Sep 25 2012 4 00 00 PM EDI Requested By Robin Goode Additional Information Attachments fa oo Other Links Checklists Re certification Facility Audit Module 2 Level 2 01966 Result Re certification Facility Audit Module 11 2 01967 Result Save amp Close Cancel If clauses need to be marked as N A before the audit is routed to the audit team then continue to the Editing an Audit section of this manual If the audit is ready to be performed and routed to the audit team then continue to the Routing the Audit section of this manual Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 27 of 34 Editing an Audit EX
6. To mark an Preparing an SQF Audit User Guide Copyright OFood Marketing Institute 2012 All Rights Reserved Page 29 of 34 item as N A simply select the check box next to the desired item then add it to the right and select OK L J 1 0 Vpoeneauuir GIU I tuuwuLee yvanuartc a HI vuuu o nanum 1Y strays PSyuncrerciito nmr y wc r 7 Development 2 3 establishment of use by or best before dates microbiological 2 3 1 5 Specification and Product Development 2 3 criteria consumer preparation storage and handling requirements A food safety plan shall be validated and verified for each new product 2 3 1 4 Specification and Product and its associated process through conversion to commercial Development 2 production and distribution or where a change to ingredients process or packaging occurs that may impact food safety aw and packaging materials including but not additives hazardous chemicals and processing nished product safety shall be documented and 2 3 2 2 Raw and Packaging Materials 2 All raw and packaging materials and ingredients shall comply with the 3 relevant legislation The methods and responsibility for developing and approving detailed 2 oa raw material ingredient and packaging specifications shall be documented Raw and packaging materials and ingredients shall be validated to ensure product safety is not compromised and the material is fit for its 2 3 2 4 Raw and Packaging Materials
7. Audit Maeedoles 44 PF NOTE Within an audit you will be unable to edit the Supplier audit level or Lead Auditor If changes need to be made a new audit plan will need to be created Additionally the audit that was created from the audit plan will need to be routed to the Voided phase 5 To add any secondary auditors simply type or select on the people search icon on the right hand side of the secondary auditors field to which you can search for additional auditors or technical experts and add them as a secondary auditor secondary Auditors 1 Search for the auditor or technical expert Sperry Kline Search View Columns Search Advanced Reset View Name Company Name FSCs 2 Select the Magnifying Glass icon to pull up the contact record 4 Select the Canning Pasteurizing OR ic Operations e 16 Ice Drink Beverage Processing i Add Button 17 Confectionary Manufacturing 18 Preserved Food Manufacturing 19 Food Ingredient Manufacture j 20 Recipe Meals Manufacture 21 Oils Fats and the Manufacture of oil or fat based spread i 22 Processing of Cereal Grains and Nuts 35 Broker or Agent Steve Double Double Auditing Services n 13 Bakery and Snack Food Processing Kris Eagle fact ee 18 Preserved Food Manufacturing 17 Confectionary Manufacturing 3 Select the auditor or 5 Select OK technical expert OK Cancel
8. Food Marketing Institute 2012 All Rights Reserved Page 8 of 34 1 Tvpe in name Tucan 5 Columns Search Advanced Reset View Company Name oS acne gear 2 Select Magnifying Glass icon to Casual Cupcakes Inc nge Std pull up contact record 4 Select Add 3 Select radio button to left of Button new contact paler Tucan Peanuts 7 Documents 1 to 2 of 2 5 Select OK OK Cancel 7 After selecting your desired company you will notice that the Applicable Food Sector Categories for that company automatically populate underneath the Supplier field NOTE If the incorrect Food Sector Categories are appearing for the company that you have selected you will be unable to edit those Food Sector Categories within the Audit Plan Draft area Essentially this means that the incorrect Food Sector Categories exist for that company within the Company Profile since the information is managed within the Company Profile A Primary Contact has the ability to edit Food Sector Categories within a Company Profile refer to the Supplier Company Profile section of this manual Once the Applicable Food Sector Categories have been correctly edited within the Company Profile start the Audit Plan Draft over to which they should now correctly appear Plan Information Number Plan Type Please Save Re certification Multi site Yes No Supplier Tucan Peanuts Applicable Food Sector C
9. Open By Assigned in this view you will see and can search for any audits by their audit number and view to which individual the audit is assigned If the audit is assigned to multiple individuals then multiple line items will appear for each individual the audit is assigned to My Calendar in this view you will see and can search for any audits that are currently assigned to you in a calendar format Closed by Supplier in this view you will see and can search for any audits that have been closed by company name Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 2 of 34 Audit Plans My Open Audit Plan in this view you will see and can search for any audit plans that are currently assigned to you Pending in this view you will see and can search for any audit plans that are currently pending approval Approved in this view you will see and can search for any audit plans that have been approved Audit Plan My Calendar in this view you will see and can search for any audit plans that are currently assigned to you in a calendar format Audit Plan Calendar in this view you will see and can lz 1 Audits 2 Open by Supplier 3 Open by Assigned search for all audit plans in a calendar format eer My Calendar 5 Closed by Supplier Action Items 2 Audit Plans My Open in this view you will see and can search for 4 My Open Audit Pl
10. assigned the audit plan can route the audit plan to Void but a reason must be provided The audit plan will be removed from all audit views if voided Warning Once voided only SQFI can reinstate the audit plan Approved no changes can be made to the audit plan and the audit plan has moved to the Approved audits view AUDIT PHASES Draft in the phase the certification body administrator has the ability to change the modules before it is saved start and end date and time of the audit and any secondary auditors or technical experts Only the individual who created the audit can route it forward to Perform Audit Perform Audit in this phase the team of auditors anyone listed in the Lead Auditor and Secondary Auditors fields have the ability to perform the audit online or by using the EtQ offline audit tool Spell check and attachments to the audit can be made during this time in the online system Anyone from the audit team can route the audit forward to Nonconformities Review or back to Draft Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 4 of 34 Nonconformities Review in this phase only the lead auditor has the ability to review and edit the audit online Spell check and attachments to the audit can be made during this time The lead auditor can only route the audit forward to Approval Approval in this phase the techn
11. next to the Audit Plans from the left navigation bar then My Open Audit Plan 1 Audits 1 My Open Audits 2 Open by Supplier 3 Open by Assigned 4 My Calendar 5 Closed by Supplier 2 Audit Plans 2 Pending 3 Approved Audit Plan My Calendar 6 Audit Plan Calendar 3 Action Items 4 Certificates r Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 6 of 34 3 Within My Open Audit Plan select New Document then Audit Plan Draft a Reliance Home G Search Application g Advan 1 Audits 2 Audit Plans 1 My Ops 4 My Open Audits 2 Open by Supplier 3 Open by Assigned 4 My Calendar 5 Closed by Supplier 2 Audit Plans 1 My Open Audit Plan L New Document amp Due Date 5 Audit Plan My Calendar 6 Audit Plan Calendar 3 Action Items 4 Certificates 4 When entering Audit Plan Draft a new tab will open Under Plan Information you will select the Plan Type and corresponding Level as demonstrated below Plan Information Plan Information Number Please Save Multi site Yes No 5 Ifa multi site is being audited then select the Yes radio button If not simply select the No button Plan Information Number Plan Type Please Save Re cert
12. 1 2 Re certification Facility Audit Module 2 Level 2 Re certification Facility Audit Module 2 Level 2 Additional Questions 2 Re certification Facility Audit Module 10 2 Re certification Facility Audit Module 11 2 Re cert Re cert Re cert Re cert Re cert Re cert Re cert fication Facility Audit Module 12 2 fication Facility Audit Module 13 2 i i i ification Facility Audit Module 5 2 i i i fication Facility Audit Module 6 2 ification Facility Audit Module 7 2 ification Facility Audit Module 6 2 ification Facility Audit Module 9 2 To have a checklist or checklists added select the checklists from the left hand window You can select one by clicking on it select a group by holding down the Shift key on your keyboard and clicking a the first and last of your desired cluster or select multiple by holding down the Control key on your keyboard and making your selections Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 13 of 34 CHECKLIST SELECTION SHORT CUTS Re certiication Facility Audit Module 2 Level 2 Additional Questions 2 Re certification Facility Audit Module 10 2 Re certiication Facility Audit Module 11 2 Re cernification Facility Audit Module 12 2 Re certification Facility Audit Module 13 2 Re certification Facility Audit Module 5 2 Re certification Facility Audit Module 6 2 Re certification Fac
13. 18 Addendums McDonalds Ethical Sourcing Sperry Kline Technical Expert FSC 17 EXAMPLE SQFI RELIANCE COMPANIES ACB Certification Body Company Profile Tucan Peanuts Supplier Company Profile 1 Once having reviewed the audit you may now route the audit within the phase tracker to Perform Audit Audits 01001 Created by Robin Goode on Sep 15 2012 1 27 34 AM _ _ _ _ _ E E Draft Perform No Corrective Action Plan and Closed with Voided ompleted fey Z W H j Wr ic c Audit Audit Info Access Contro All Tabs Preparing an SQF Audit User Guide Copyright OFood Marketing Institute 2012 All Rights Reserved Page 31 of 34 A new Phase Dialogue box will appear for you this time routing to the audit team in this case the Lead Auditor Kris Eagle and the Technical Expert Secondary Auditor field Sperry Kline AUDIT PHASE DIALOGUE BOX Send To this field documents which phase you are routing the phase tracker to Within an audit you will be routing the phase tracker to the Perform Audit phase then eventually the Corrective Actions Plan and Review and Closed with Extensions or Completed phase Perform Audit should have pre populated for you within this field You will not need to alter this field Due Date this field designates a date for when the approval will need to be reviewed The system will automatically designate this date however you also h
14. AMPLE SQFI RELIANCE COMPANIES ACB Certification Body Company Profile Tucan Peanuts Supplier Company Profile 1 Within Draft audit move to the bottom to the Checklist section and select the checklist that corresponds to the clause that should be marked as Not Applicable N A Audits 01001 Created iy Robin Goode on Seg 15 2012 127 AM At Into Last Gomment Comments Add View Histor Rain Goode Sep 15 2012 14019 AM Orat Link to Audit Pan 2012 Fie certification Audi Tucan Peanuts 01033 rav 1 Approved Audit intonation Audi Humber aga ah Supplier Secondary Auditors Tucan Peanuts Sperry Kline Start Date amd Time End Date and Time Sep 24 2012 amp 00000 AM EDT Sep 25 2012 4900000 PM EDT EE fe gn Othar Links Chests Receniiiication Faciify Audh Module 2 Lael 2 01955 Reekin Facility Aud Module 11 2 01567 Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 28 of 34 NOTE Marking a clause as N A does not mean that the clause will be removed from the audit it simply marks the clause as N A for the audit team The audit team can always deselect the clause especially if while onsite they find that the clause is applicable 2 This will open a new tab to which you will be able to view each checklist item You will then be able to mark certain items as N A should an item not be applicable to the company being audited fat R
15. Audits 2 Audit Plans 1 My Open Audit Plan 1 My Open Audits 2 Open by Supplier 1 3 Open by Assigned 4 My Calendar 5 Closed by Supplier maneu a2 2 Audit Plans i je KF My Open Audit Plan A Sep 28 2012 Audit Plan 1 mS m 5 Audit Plan My Calendar 6 Audit Plan Calendar At this point you may leave the audit plan within the Approval phase until needing to be approved If the audit plan does not need further approval move to the next step 21 Within My Open Audit Plan locate the audit plan you created that needs approval and select it Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 20 of 34 fat Reliance Home A Audits Search Application 4 Q Advanced 2 Audit Plans 1 My Open Audit Plan 1 Audits PLS 1 My Open Audits C New Document Refresh Copy Links Ta Export to Excel A Print View More 2 Open by Supplier N 3 Open by Assigned Search View Ss J 4 Columns Search Advanced Reset View 4 My Calendar DEn a Columns Search Re ss veep ia aa a 4 Due Date Type 2 Audit Plans E 1 My Open Audit Plan Sep 28 2012 Audit Plan 2 Pending 3 Approved Audit Plan My Calendar i 6 Audit Plan Calendar 22 When entering the audit plan for approval you will notice that the phase tracker has updated You now have the opportunity to Voided Approved or route t
16. Dialogue Box select OK Once selecting OK you will be brought back out to the Audits application If you are brought to the Approved Audit Plan then close the Audit Plan The audit is now with the audit team to be performed NOTE Any audit in the system can be viewed in the Audits Open by Assigned or Audits Open by Supplier views NOTE If you have a first time Auditor it is important that they have the Offline Audit Tool downloaded correctly to their computer Feel free to direct them to the Reliance Auditor User Guide made available on our website under the SQF Professionals tab This guide will map out the process of having this software correctly downloaded CONTACT INFORMATION If you are to have any questions or experience any issues with the Reliance audit process contact SQFI for assistance at reliance sqfi com or 202 220 0635 Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 34 of 34
17. SBSQF Preparing an SQF Audit User Guide For CB Administrators amp Staff Contents PAUSADO 0 geen enearerne nen Oe ee oe en ren rn ne Oe er ee ere ne ee eee eee er re 2 PUIG TAS AUC UG ea R E EE 4 creatine Si UIE PII icsticasieicesse sp etetecenst a gatiecematactiatesu EE R AN 5 CHS UNS ta CUI oarra E E aad enosceasveoesuac EE E a 23 ECU CNV AN AUO eee es eres Senses E E E amie sansa ca se ens gure tow oeatnew et aes astute ence eecaommneess 28 ROUTINE an Audit to be PET ONG Oers A 31 This user guide will map out the entire CB Administrator SQF Audit set up process within Reliance Everything in this user guide will take place PRIOR to the audit itself Audits Application 1 Within your portal select Audits from My Applications A new tab will open for you similar to that of a web browser The Audits application is where all SQF audits will be performed My Applications i Registration and on i Invoicin Companies g 4 Audits a Training ww i fa Reliance Home Search Application 2 Once within the Audits application you will automatically open within the Audits Open by Assigned view Below is a breakdown of all left hand navigation views AUDITS APPLICATIONS Audits My Open Audits in this view you will see and can search for any audits that are currently assigned to you Open By Supplier in this view you will see and can search for any audits by company name
18. __ End Date and Time Sep 24 2012 8 00 00 AM Sep 25 2012 4 00 00 PM Approved Revision History Access Control All Tabs _ Audit Profile Recertification Facility Audit Level 2 _ Audit Plan Title 2012 Re certification Audit Tucan Peanuts Created by Robin Goode on Sep 14 2012 9 41 26 PM 2 You will now need to create the audit itself by selecting Schedule Audit located at the bottom of the form Plan Information Number 01033 Multi site Yes Supplier Tucan Peanuts Plan Type Re certification f No Applicable Food Sector Categories 13 Bakery and Snack Food Processing 17 Confectionary Manufacturing Title 2012 Re certification Audit Tucan Peanuts Scheduled Audits Audit Profile Recertification Facility Audit Level 2 Checklists Re certification Facility Ap 2 Current Audit Re certiication Fag Lead Auditor Kris Eagle Start Date and Time sep 24 2012 8 00 00 AM EDT 0400 ait Module 11 2 schedule Audit End Date and Time sep 25 2012 4 00 00 PM EDT 0400 Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 24 of 34 3 A new tab will open at the top of the page titled Audits New You will notice a new phase tracker starting in the Draft phase Reference the Audit Plans and Audits section of this manual for information on the different Audit phases Audits New Created b
19. an any action items that are currently assigned to you 2 Pending Open By Phase in this view you will see and can search b 3 Approved for all action items 3 5 Audit Plan My Calendar Completed in this view you will see and can search for 6 Audit Plan Calendar all completed action items 3 Action Items 1 My Open 2 Open by Phase 3 Completed z 4 Certificates Certified Expired Certificates Certified in this view you will see and can search for any certificates which have been issued by supplier that are currently in the Certified phase Expired in this view you will see and can search for any Seed certificates which have been issued by supplier that are Suspended Registration Expaed currently Expired Ll Withdrawn Suspended in this view you will see and can search for any certificates which have been issued by supplier that are currently in the Suspended phase Suspended Registration Expired in this view you will see and can search for any certificates which have been issued by supplier that are currently in the Suspended phase due to their registration expiration Note that SQFI will move certificates to the Suspended Registration Expired phase Withdrawn in this view you will see and can search for any certificates which have been issued by supplier that are currently in the Withdrawn phase Preparing an SQF Audit User Guide Copyright Food Market
20. ategories 13 Bakery and Snack Food Processing 17 Confectionary Manufacturing Title Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 9 of 34 8 Finally enter a title for your audit within the Title field This is a free text field and the audit plan can be named anything For this user manual 2012 Re certification Audit Tucan Peanuts has been assigned as the title Plan Information Number Plan Type Level Re certification 2 Please Save Multi site Yes No Supplier Tucan Peanuts Applicable Food Sector Categories 13 Bakery and Snack Food Processing 17 Confectionary Manufacturing Title 2012 Re certification Audit Tucan Peanuts Once having entered a title the Plan Information section is now complete 9 You will now enter the audit scheduling section beneath the Plan Information The Scheduled Audits section is where you will select the checklists that make up the audit itself where you will select the lead auditor and where you will schedule your audit First you must select what is known as an Audit Profile The Audit Profile is filtered based off of the information you have already entered within the audit plan specifically the audit type and level Select your audit profile by selecting on the search icon to the right of the Audit Profile field to which a new window will open for you A Re certific
21. ation Facility Audit Level 2 audit will be utilized during this user manual demonstration Scheduled Audits Audit Profile Lead Auditor La Checklists Start Date and Time End Date and Time Current Audit e Add Record Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 10 of 34 NOTE Only those audits that match your audit type and audit level will appear for you within the Audit Profile search Recertification Facility Audit Level 2 Ethical Sourcing McDonalds Select the correct audit profile then select OK 10 Once selecting OK you will be brought back to your audit plan You should now notice the audit profile that you selected listed within the Audit Profile field You will next select the Lead Auditor Like that of the Audit Profile select the search icon to the right of the Lead Auditor field Scheduled Audits xX More Audit Profile Lead Auditor Recertification Facility Audit Level2 E i Checklists Start Date and Time Re certification Facility Audit x E mo Module 2 Level 2 End Date and Time Current Audit ck Add Record Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 11 of 34 A new window will open with a list of all auditors that are associated with your certification body and have at least one matching Food Sector Category w
22. ave the opportunity to select a review date This field must have a date entered as it is a required field denoted with a red asterisk Assign To this field designates which individuals will be notified by email of your phase tracker routing This field is not editable as it will automatically be designated to the audit team to perform the audit Notify this field allows you to notify other individuals via email that you are routing the audit phase tracker forward to the Perform Audit phase You have the opportunity to add other company contacts within this field You do not have to notify other individuals when routing the audit forward This is an optional feature Comment this field is for additional comments These comments will list for those individuals being notified that the audit is moving to the Perform Audit phase Please select the next phase and the due date send To Perform Audit Due Date Sep 25 2012 Assign To Sperry Kline Kris Eagle Notify Comment Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 32 of 34 2 To notify other individual s that you are routing the audit to the Perform Audit phase simply select the contacts icon at the top right corner of the Notify field E A new window will open to which you can search for the desired individual you plan to have notified of this phase routing For example le
23. eliance Home J v Audit Plan 01033 zj Audits 01001 fa Re certification Facility Audi save A Refresh Print 8 SpellCheck More Cancel Re certification Facility Audit Module 2 Level 2 01966 Created by Robin Goode on Sep 15 2012 1 44 19 AM em Draft Assigned ete Last Comment Comments Add View History Robin Goode Sep 15 2012 1 44 19 AM Draft Checklist Type Re certification Facility Audit Module 2 Level 2 Checklist Number Document Links 01966 Audits 01001 Draft due Sep 22 2012 NOTE If an item is mandatory the Mandatory checkbox is checked per the SQF Code Ed 7 then you will be unable to mark the item as not applicable Only items that are not mandatory may be marked as N A in the audit by the certification body contact Clauses that are mandatory can be marked as N A by the auditor while onsite 2 1 1 2 Management The policy statement shall be signed by senior Result Policy 2 3 M management made available in language understood by all staff and dis played in a prominent position and effectively communicated to all staff Mandatory clauses cannot be marked as N A To mark an item as N A within the checklist select on the search icon in the right corner of The following Items are not applicable in this Audit field You will be able to select as many non mandatory items as you please The following Items are not applicable in this Audit 3
24. h P Copy Links X Export to Excel p Print View More Search View 4 Columns Search Advanced Reset View Site Start Date and Time End Date and Time Lead Auditor Audit Profile Audit Plan Title Audit Plan My Calendar gt 6 Audit Plan Calendar 3 Action Items 4 Certificates Creating an Audit EXAMPLE SQFI RELIANCE USERS Robin Goode ACB Certification Body Account Administrator Kris Eagle SQF Auditor FSC 13 18 Addendums McDonalds Ethical Sourcing Sperry Kline Technical Expert FSC 17 EXAMPLE SQFI RELIANCE COMPANIES ACB Certification Body Company Profile Tucan Peanuts Supplier Company Profile 1 Enter the audit plan by selecting it within the Audits application and Approved under Audit Plans accessed within your Reliance portal You will now notice that the phase tracker is no longer listed only the word Approved Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 23 of 34 fat Reliance Home Search Application Sea 1 Audits 4 My Open Audits 2 Open by Supplier 3 Open by Assigned 4 My Calendar 5 Closed by Supplier 2 Audit Plans _ 1 My Open Audit Plan 5 Audit Plan My Calendar 6 Audit Plan Calendar E 3 Action Items 4 Certificates Audit Plan 01033 Audit Plan Into 2 Audit Plans 3 Approved a Columns Search Advanced Reset View
25. he audit plan back to Draft should any edits need to be made to the audit plan information Reference the Audit Plans and Audits section of this manual for information on the different Audit Plan phases Audit Plan 01033 Created by Robin Goode on Sep 14 2012 9 41 26 PM A ee Draft Approval Voided Approved NOTE If you notice an error within the audit plan information simply route the audit plan back to the Draft phase by selecting Draft on the phase tracker A comment is required within the Phase Tracker whenever routing any item backward within Reliance This is to ensure that a reason is captured as to why something is being routed backwards SO Drat Approval Voided Approved 23 If you are happy with the information listed within the audit plan route the audit forward by selecting Approved within the audit plan phase tracker Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 21 of 34 Audit Plan 01033 Audit Plan Info Revision History Last Comment Created by Robin Goode on Sep 14 2012 9 41 26 PM i A ee Draft Approval Voided Approved All Tabs Robin Goode Sep 15 2012 12 22 14 AM Draft Plan Information Number 01033 Multi site C Yes No Supplier Tucan Peanuts Applicable Food Sector Categories 13 Bakery and Snack Food Processing 17 Confectionary Manufacturing Title Plan Type Re certification
26. ical reviewers if they are listed as primary contacts have the ability to review and edit the audit online Spell check and additional attachments to the audit can be made during this time Information on appeals of nonconformances can be entered into the system during this phase Any primary contacts can route the audit forward to Corrective Action Plan and Review or back to Nonconformities Review Corrective Actions Plan and Review in this phase triggers for all nonconformances found have been sent to the supplier These are called Action Items in the system Once the Action Items have been entered by the supplier and reviewed by the lead auditor and technical review team the certification manager if they are listed as a primary contact can route the audit to the next phase Any primary contacts can route the audit forward to Closed with Extensions or Completed phase No changes can be made to the audit at this time Closed with Extensions in this phase no changes can be made to the audit The certification body contact that created the audit in the system has the ability to route the audit to Completed once all extensions have been closed out Voided anyone who is assigned the audit can route the audit to Void but a reason must be provided The audit will be removed from all audit views if voided Warning Once voided only SQFI can reinstate the audit Completed no changes can be made to the aud
27. ification Multi site B Yes Supplier Lt Title Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 7 of 34 NOTE If multi site is selected the central site must first be selected and then any sub sites that will be audited Only sites that will be audited should be selected NOTE Multi site requirements are laid out in the SQF Code Ed 7 under Module 16 After selecting the correct radio button the Supplier search field will automatically populate for you to which you will be able to select the company that you would like to conduct an audit for NOTE Only companies that are registered or due for re registration will be visible in the Supplier field 6 To select the company that you would like to conduct an internal audit for you can either type in the name of the company in the Supplier search field then select the company that appears for you in the dropdown box or you can utilize the search icon to the right of the Supplier search field for a specific company search Both searches are demonstrated below Plan Information Number Plan Type Level Please Save Re certification 2 Multi site Yes supplier Tucan P Type in name then select me Plan Information Number Plan Type Please Save Re certification Multi site amp Yes No Supplier Title Preparing an SQF Audit User Guide Copyright
28. ility Audit Module 7 2 Re certification Facility Audit Module 8 2 Re certification Facility Audit Module 9 2 Clicking One Re certification Facility Audit Module 2 Level 2 Additional Questions 2 Re certification Facility Audit Module 10 2 Re certiication Facility Audit Module 11 2 Re certification Facility Audit Module 12 2 Re certiication Facility Audit Module 13 2 Re certification Facility Audit Module 5 2 Re certification Facility Audit Module 6 2 Re certification Facility Audit Module 7 2 Re certification Facility Audit Module 6 2 Re certification Facility Audit Module 9 2 Holding Down Shift Key Re certiication Facility Audit Module 11 2 Re certification Facility Audit Module 12 2 Re certification Facility Audit Module 13 2 Re certification Facility Audit Module 5 2 Re certification Facility Audit Module 6 2 Re certification Facility Audit Module 7 2 Re certification Facility Audit Module 6 2 Re certification Facility Audit Module 9 2 Holding Down Control Key Once your selections have been made you can have your selected checklist s added to the right window by clicking on the Add button as shown below When you are happy with your selected checklist s select OK Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 14 of 34 1 Select the checklist a l Re certification Facility Audit Module 2 Leve
29. ing Institute 2012 All Rights Reserved Page 3 of 34 Audit Plans and Audits RELIANCE AUDIT TERMINOLOGY Audit Plan holds all of your basic audit information what is the audit type What is the audit level What checklists are associated with this audit When is the audit taking place Audit holds your specific audit You will be able to export and import audit data via the Offline Audit Tool review your nonconformities and enter your corrective actions within this area Action Items these are the nonconformances which are sent to the supplier when the audit is routed to Corrective Actions Plan and Review Action Items are assigned to the Primary Contacts of a Supplier company The supplier s corrective actions are entered into the Action Items AUDIT PLAN PHASES Draft in the phase the certification body administrator has the ability to identify the audit type level lead auditor and select the applicable modules and addendums that will need to be performed during the audit Only the individual who created the audit plan can route it forward to Approval Approval in the phase the certification body administrator has the ability to review the information entered during the Draft phase If changes need to be made then the audit plan can be routed back to Draft Only the individual who created the audit plan can route it forward to Approval or back to Draft phase Voided anyone who is
30. it and the audit has moved to the Closed by Supplier audits view Creating an Audit Plan EXAMPLE SQFI RELIANCE USERS Robin Goode ACB Certification Body Account Administrator Luke Crystal ACB Certification Body Technical Reviewer Steven Double SQF Auditor FSC 10 11 12 13 14 15 16 17 18 19 20 21 22 35 Addendums McDonalds Ethical Sourcing Kris Eagle SQF Auditor FSC 13 18 Addendums McDonalds Ethical Sourcing Sperry Kline Technical Expert FSC 17 Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 5 of 34 EXAMPLE SQFI RELIANCE COMPANIES ACB Certification Body Company Profile Tucan Peanuts Supplier Company Profile Casual Cupcakes Inc Supplier Company Profile 1 Before beginning an audit plan it is absolutely crucial that you review the Supplier company profile that will be audited Reference the Supplier Company Profiles section of this manual particularly page 19 to ensure each and every correct Supplier field is reviewed in advance of audit plan setup 2 Within your portal select Audits from My Applications A new tab will open for you similar to that of a web browser You will be able to navigate back and forth between tabs freely when working within the system My Applications wm Registration and Cannae p Invoicing ii l d Audits Training Once within the Audits application you will want to select the
31. ith the company being audited Select the Lead Auditor who will be conducting the audit Search View Columns Search Advanced Reset View Kris Eagle ACB Incorporated and Snack Food Processing 48 Preserved Food Manufacturing keagle gmail c Steve Double Ep Documents 1 to 2 of 2 Once choosing your Auditor select the Add button then OK You will then be brought back to your audit plan 11 You should now notice your Auditor listed within the Lead Auditor field You will next select the Checklists for the audit Like that of the Audit Profile and Lead Auditor fields select the search icon to the right of the Checklists field Scheduled Audits A More Audit Profile Lead Auditor Kris Eagle ri End Date and Time Checklists Start Date and Time Re certification Facility Audit Module 7 Level 2 Cu rrent Audit Preparing an SQF Audit User Guide Copyright O Food Marketing Institute 2012 All Rights Reserved Page 12 of 34 A new window will open to which you can select the appropriate checklists for your audit The checklists you will utilize are the modules that specifically correspond with the Applicable Food Sector Categories of the company being internally audited Select the correct checklists for your internal audit NOTE A listing of which modules correspond with which Food Sector Categories can be found in the SQF Code Ed 7 under Part A Section
32. l 2 Re certification Facility Audit Module 2 Level 2 Re certification Facility Audit Module 11 2 Additional Questions 2 Re cenification Facilitw Audt Module 10 2 Re certification Facility Audit Module 11 2 Re Cernimcation Facility Audit Module l 2 Re certification Facility Audit Module 13 2 Re certification Facility Audit Module 5 2 Re certification Facility Audit Module 6 2 Re certification Facility Audit Module 7 2 Re certification Facility Audit Module 6 2 Re certification Facility Audit Module 9 2 3 Click OK Once selecting OK you will be brought back to your audit plan to which you will now notice your selected checklist s listed Checklists Re certification Facility Audit Module 2 Level 2 Re certification Facility Audit Module 11 2 You may also remove an unwanted checklist within the Draft phase by simply scrolling over the unwanted checklist and selecting the x that appears to the right as shown below Checklists Re certification Facility Audit Module 2 Level Re certification Facility Audit Module 11 2 Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 15 of 34 12 After selecting your audit checklists you may now set the date and time of the start and end to your audit This is completed by selecting the calendar icon to the right of the Start Date and Time and End Date and Time
33. ld designates which individuals will be notified by email of the audit being routed This field is not editable as it will automatically be designated with the individual who created the audit plan for the audit Notify this field allows you to notify other individuals via email that you are routing the audit plan phase tracker forward to the Approval phase You have the opportunity to add other company contacts within this field You do not have to notify other individuals when routing the audit plan forward This is an optional feature Comment this field is for additional comments These comments will list for those individuals being notified that the audit plan is moving to the Approval phase Phase Dialog Please select the next phase Send To Approval Due Date sep 26 2012 Robin Goode Comment 17 To notify other individual s that you are routing the audit plan to the Approval phase simply select the contacts icon at the top right corner of the Notify field Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 18 of 34 E A new window will open to which you can search for the desired individual you plan to have notified of this phase routing For example let s say you are searching for another secondary company contact to notify Luke Crystal To select Luke as an additional individual to notify simply type in his name in the sea
34. rch field as demonstrated below When typing in Luke s name you will notice that he appears for you in an auto search feature Simply select his name then select the Search icon magnifying glass You will now be able to select Luke First click on the check box to the left of his contact record then add him via the Add button icon Select OK 1 Search for the contact Advanced Reset View Save Search Crystal Luke Luke Crystal ta Name a ere 2 Search by selecting the magnifying glass 4 Select the Add button 3 Select the contact R 5 Select OK n S OK Cancel NOTE You will only be able to search for existing contacts within Reliance Luke s name will now appear for you within the Phase Dialogue Box in the Notify field You may remove added contacts from the Notify field at any time by simply selecting on the to the right of the contact s name Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 19 of 34 Luke Crystal 18 Finally a comment can be added within the Phase Dialogue box Comment This field is for additional comments 19 Once you have completed all that you would like to have completed within the Phase Dialogue box select OK 20 After selecting OK you will be brought back out to the Audits application fat Reliance Home fe Search Application 7 pj 4
35. t s say you are searching for another secondary company contact to notify Luke Crystal To select Luke as an additional individual to notify simply type in his name in the search field as demonstrated below When typing in Luke s name you will notice that he appears for you in an auto search feature Simply select his name then select the Search icon magnifying glass You will now be able to select Luke First click on the check box to the left of his contact record then Add him via the Add icon Select OK 1 Search for the contact Advanced Reset View Luke Crystal gt Save Search Crystal Luke amp Name eo 2 Search by selecting the magnifying glass 4 Select the Add button 3 Select the contact ER 5 Select OK OK Cancel NOTE You will only be able to search for existing contacts within Reliance Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 33 of 34 Luke s name will now appear for you within the Phase Dialogue box in the Notify field You may remove added contacts from the Notify field at any time by simply selecting on the x to the right of the contact s name Luke Crystal 3 Finally a comment can be added within the Phase Dialogue Box Comment This field is for additional comments A 4 Once you have completed all that you would like to have completed within the Phase
36. y Robin Goode on Sep 15 2012 1 27 34 AM Draft Perform Nonconformities Review Approval Corrective Action Plan and Review Closed with Extensions Completed Audit 4 Atthis point you will be able to review the information populated into the audit from the audit plan beneath the audit phase tracker You will notice that you have the opportunity to edit and add additional information such as secondary Auditors Audit Information Please save the document to set the Audit Type and inherit the default values Audit Number Level Please Save 2 Supplier Lead Auditor Secondary Auditors Tucan Peanuts Kris Eagle Audit Type Start Date and Time End Date and Time Recertification Facility Audit Level 2 E Sep 24 2012 8 00 00 AM EDT 7 Sep 25 2012 4 00 00 PM EDI Checklists Requested By Re certification Facility Audit a Robin Goode Module 2 Level 2 Re certification Facility Audit ah Additional Information Attachments j Blo pa Other Links oe Checklists Save amp Close Cancel Preparing an SQF Audit User Guide Copyright Food Marketing Institute 2012 All Rights Reserved Page 25 of 34 NOTE It is highly recommended you do not Save the audit right away You are only able to edit checklists when the audit has not been saved Make sure that all checklists are correct before saving the audit Checklists Re certification Facility Audit Module 2 Level 2 Re certification Facility
Download Pdf Manuals
Related Search