How is everyone organizing their SOPs and records in preparation for audit?
How is everyone organizing their SOP's, records, etc. in preparation for audit? Currently, we are using the binder & hard copy system, but we are wanting to move away from that. We also can't get approval for some of the more expensive software that allow for virtual program storage. Any ideas?
I keep all my doc's (e.g. programs, policies, SOPs, HACCP forms, etc.) in binders, records - in filing cabinets. However, some stuff I keep electronic: for instance, all certificates and specifications, both my company's and customers'. We don't use any software programs to store documents/records as our current system's been working fine so far. Kind of old-fashioned, I agree:)
I have an audit binder that I set up that each part of the code I have the SOP or a paper that references where to find our evidence to show we are in compliance with that portion. Of course, more and more auditors I have found like to do things electronically on a screen, so I have a Supporting document register I keep current, so as the auditor goes along the code, I am prepared to pull up the next item. I also have an electronic audit folder that has the programs and such per section of the code now that 2 years in row the auditors have asked to do it more electronically. Seems to be whatever the auditor prefers.
my facilities have the written program in both electronic and printed format. I have used both our internal server and sharepoint for electronic storage. sharepoint is nice as it keeps track of every document change and who made it.
Both electronic and paper manuals are organized by the corresponding BRC or SQF clause that they are intended to meet.
I am a little surprised that auditors like the electronic versions. i would think it would be easier to be able to page through an organized binder instead of asking for a file, waiting for someone to open it, having someone scroll through it on a screen, etc
They all have paper records stored in binders - some have scanned them and stored them on the server.
Almost everything here is electronic, other than a few employee sign offs. But I don't have any large binders of info, etc, everything can be accessed by my laptop on an overhead projector. It's still difficult to find things sometimes though, gotta know the system inside out to navigate file folders correctly, and the last thing you want is an auditor sitting there too long while you're digging through files like a dummy! Lol.
I keep all SOP's/Programs electronically, divided into 29 Folders describing the program documents within. Those are printed and kept in a FSQMS binder with 29 divider tabs, with most recent copies published into the binder. Idea is that the binder can be utilized by any staff within the company to review SOP's as needed, computer access not needed. During audits, I've had auditors prefer to be able to thumb through the FSQMS binder on their own, while I display files on an overhead projector for all involved to read together. Sometimes they think they'll be sneaky and catch me with two different versions, but I'm too old to get caught in that kind of basic trap lol.
To provide blank copies of needed records for production/warehouse, I usually made copies and kept them in a file cabinet accessible to floor staff. They're only to be taken as needed, and not stored elsewhere, so that if a revision occurs, I can grab and destroy all old copies when issuing the new copies.
For completed records... Yeah, those can go all over. Records for production most often become part of the batch record. Other general records (master sanitation, pest control, etc.) are kept in folders or binders, organized with similar records to allow easy retrieval.
my facilities have the written program in both electronic and printed format. I have used both our internal server and sharepoint for electronic storage. sharepoint is nice as it keeps track of every document change and who made it.
Both electronic and paper manuals are organized by the corresponding BRC or SQF clause that they are intended to meet.
I am a little surprised that auditors like the electronic versions. i would think it would be easier to be able to page through an organized binder instead of asking for a file, waiting for someone to open it, having someone scroll through it on a screen, etc
They all have paper records stored in binders - some have scanned them and stored them on the server.
We do the same at our facility. It makes it very easy to identify the location of information requested by auditors, and where we call out those specific practices in our procedures and/or policies.
Example( SQF 9.0>SQF 2.9 Training> SQF 2.9.1 Training Requirements> SQF 2.9 Training Requirements Policy)
Additionally having your SOPs or various documents enumerated to the different modules of the codes allows you to also verify that you are meeting the required aspects of those sections. As well as streamlining any changes made in each new edition.
If we had a checklist for metal detection and held an SQF Cert, we would name our checklist, as it would mostly pertain to the Detection of Foreign Objects section of the code: SQF 11.7.4 Metal Detection Checklist. We would then file that checklist based on the code reference by date for review for an auditor. Rinse and repeat for all other sections (policies, SOPs, Forms, Checklists).
If you can't decide in which section of the code to file an SOP, policy or form you can always reference within the document to any different code section. Taking the example above, you may also choose to include the metal detection checklist as part of your SQF 11.7.3 Control of Foreign Matter Contamination SOP and could reference the checklist within your SOP.
Organizing and categorizing your program to match your facility allows more flexibility for the future (adding new programs, changing GFSI certification bodies, etc). I end up making a cheat sheet with SQF code matched to my internal policies to aid navigation during audits, and I can update the cheat sheet in one swoop when SQF revises. Also helps for the policies in my program that aren’t required by SQF, I don’t struggle to find a place for them.
How is everyone organizing their SOP's, records, etc. in preparation for audit? Currently, we are using the binder & hard copy system, but we are wanting to move away from that. We also can't get approval for some of the more expensive software that allow for virtual program storage. Any ideas?
Hi jen,
I’m all for a shared responsibility and contribution from all departments during site audits so I tend to allocate responsibility by department as per the example below and expect the procedures and records to be maintained by the department whilst retaining a master copy myself.
Unannounced Audit Preparation.jpg 203.49KB 3 downloads
I would expect the Quality/Technical Manager to cover general Food Safety Management System procedures with the auditor and the departments themselves cover their relevant work instructions, standard operating procedures etc. and records.
Kind regards,
Tony
I have enjoyed using Microsoft Sharepoint as a means of storing SOPs and policies electronically. If your company owns the Office 365 software suite, you likely already own Sharepoint. With Sharepoint you can create an online file database similar to OneDrive, with the added benefit of version tracking and a permissions system which prevents unauthorized users from making changes to your SOPs.
All auditors I've worked with (note we are not SQF) have had no problems with this system, but some do ask that we print the SOP out just to make it easier for them to read in the moment. The document is securely disposed of once they've finished reviewing it.
I have a drive dedicated to keeping all of our SQF policies and procedures. It is organized following the flow of the current edition. I also keep paper copies in a FSMS binder that I use for annual audits with tabs for each section of the code (2.1, 2.2, 2.3 etc.). The binder gives me quick access to anything I need anytime during the year or for anyone else also. I have had auditors that like the binder and others that ask why we kill so many trees...
Binders. I have one binder for all of our module 2 polices (with dividers between each section) and a binder for module 9 polices. With the SQF code for that section in the front. I also have a page at the beginning of each section that lists any revisions, the date and reason for revision.
I also have a binder for our pest control program, one for SOPs & GMPs, one for training, one for meetings, one for HACCP, etc.
Each binder is clearly labeled and ready to hand to an auditor. Our working/daily production records are hard copies kept in files. Our QC paperwork is done on a tablet and printed out each day for review.
We COULD go digital, but I've talked to a few auditors, and they are fine with hard copies and (so far) all auditors have been impressed with my binders. Our last SQF auditor said he could practically do the paperwork side w/o me, it was so well organized.
I've heard of places that are electronic and auditors have been scrolling through and seen things they shouldn't necessarily see, which can lead to more questions. One auditor told me that he prefers hard copies as it's easier to find things. Audits are quicker w/o having to scroll through and find things.
All of our policies are saves for easily edits as needed, of course.
Binders. I have one binder for all of our module 2 polices (with dividers between each section) and a binder for module 9 polices. With the SQF code for that section in the front. I also have a page at the beginning of each section that lists any revisions, the date and reason for revision.
I also have a binder for our pest control program, one for SOPs & GMPs, one for training, one for meetings, one for HACCP, etc.
Each binder is clearly labeled and ready to hand to an auditor. Our working/daily production records are hard copies kept in files. Our QC paperwork is done on a tablet and printed out each day for review.We COULD go digital, but I've talked to a few auditors, and they are fine with hard copies and (so far) all auditors have been impressed with my binders. Our last SQF auditor said he could practically do the paperwork side w/o me, it was so well organized.
I've heard of places that are electronic and auditors have been scrolling through and seen things they shouldn't necessarily see, which can lead to more questions. One auditor told me that he prefers hard copies as it's easier to find things. Audits are quicker w/o having to scroll through and find things.
All of our policies are saves for easily edits as needed, of course.
Hi Miss Frankie,
I anticipate most Auditors simply like what they are used to seeing. Tradition is King, Change is the Unknown. It's Human Nature/Entropy..
Software solutions can surely offer a streamlined option but may cause Auditor Stress :thumbdown: .