1. finance
2. accounting and auditing

SQF Certification Body Meeting
Roger Roeth
Appointed CB Meeting Chair
Tuesday, November 5, 2013
Globally Trusted Food Safety and Quality Certification
Welcome and Introductions
SQF Anti-Trust Statement
FMI ANTITRUST STATEMENT
FMI believes strongly in competition. Our antitrust laws are the rules under which our competitive system operates. It is FMI’s
policy to comply in all respects with the antitrust laws.
Association meetings or workshops by their very nature bring competitors together. It is expected that all member
representatives involved in FMI activities, as well as FMI consultants and other participants, will be sensitive to the legal issues
and act in compliance with applicable antitrust and competition laws both at FMI meetings and FMI-sponsored events.
Accordingly, it is necessary to avoid discussions of sensitive topics that can create antitrust concerns. Agreements to fix prices,
allocate markets, engage in product boycotts and to refuse to deal with third parties are illegal under the antitrust laws. At any
association meeting discussions of prices (including elements of prices such as allowances and credit terms), quality ratings of
suppliers, and discussions that may cause a competitor to cease purchasing from a particular supplier, or selling to a particular
customer, should be avoided. Also, there should be no discussion that might be interpreted as a dividing up of territories.
An antitrust violation does not require proof of a formal agreement. A discussion of a sensitive topic, such as price, followed by
action by those involved or present at the discussion is enough to show a price fixing conspiracy. As a result, those attending
an association-sponsored meeting should remember the importance of avoiding not only unlawful activities, but even the
appearance of unlawful activity.
As a practical matter violations of these rules can have serious consequences for a company and its employees. Antitrust
investigations and litigation are lengthy, complex and disruptive. The Sherman Act is a criminal statute, and may even result in
penalties punishable by steep fines and imprisonment. The Justice Department, state attorneys general and any person or
company injured by a violation of the antitrust laws may bring an action for three times the amount of the damages, plus
attorney’s fees.
If you have any questions or concerns at this meeting, please bring them to the attention of FMI staff.
SQF Staff
•
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•
•
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Robert Garfield – Senior Vice President
John Schulz – Senior Director of Business Operations
LeAnn Chuboff – Senior Technical Director
Kristie Grzywinski – Technical Manager
Melody Ge – Compliance Specialist
Michael Farrell – Electronic Systems Specialist
Henok Alemayo – Administrator
Dylan Calmes – Administrator
Bill McBride – Australia & Asia Pacific Regional Representative
Luis Alberto Cruz – Mexico Regional Representative
Karina Rego – Australian Customer Service Representative
SQFI Business Development
November, 2013
Discussion Points
• Overview of SQFI Business Plan – J. Schulz
• Update on SQF Data Management System –
M. Farrell
• Information Days – LeAnn Chuboff
SQF Business Team Staffing Update
Robert Garfield
Senior Vice President
Open Position
Manager, Marketing &
Sales
Dylan Calmes
Administrator SQFI
Customer Service
John F. Schulz
Senior Director, Business
Operations
Karina Rego
Administrator SQFI
Customer Service (AU)
Mike Farrell
Specialist, SQFI Electronic
Data Systems
Henok Alemayo
Administrator SQFI
Customer Service
SQF Technical Team
Robert Garfield
Senior Vice President
LeAnn B. Chuboff
Senior Technical Director
Kristie Grzywinski
Technical Manager
Melody Ge
Technical Specialist
Bill McBride
Technical Consultant (AU)
SQFI Business Plan 2013
1. Our focus this year is to continue to stabilize the SQFI business platform and
to grow the business.
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–
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Significant focus on the SQF Audit Management System √
Expanding Marketing through the use of Information Days √
Increasing Skill Set of Customer Service Team √
2. 2012 Marketing included a more global focus, Canada, Mexico, Japan,
China, Brazil √
3. Significant investment in Translations of Course materials and Code √
4. Development of the Alchemy Online Training Program into Spanish √
5. Development of the Ethical Sourcing Code √
6. Partnership with AFIA for Feed and Pet Food Modules √
New Site Registrations
140
120
100
80
60
40
20
0
Jul-12
Sep-12
Nov-12
Jan-13
Mar-13
May-13
Jul-13
Sep-13
A total of 1,667 New Site Registrations
New Registrations vs. Re-registrations
July 2, 2012 - October 15, 2013
New Registrations (25%)
Reregistrations (75%)
Total Certificates Issued by FSC
700
576
574
600
500
415
400
300
200
0
0 4
381
259
256
205
138
102
409
121
237
4913 Certificates
204
203
181
90
22
10 2
3038
0 0 1 16 0 3
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
0
269
236
221
100
390
371
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
Production, Capture and Harvesting of Livestock and Game Animals
Growing and Harvesting of Animal Feeds
Growing and Production of Fresh Produce
Fresh Produce Packhouse Operations
Extensive Broad Acre Agriculture Operations
Harvest and Intensive Farming of Fish
Slaughterhouse, Boning, and Butchery Operations
Processing of Manufactured Meats and Poultry
Seafood Processing
Dairy Food Processing
Honey Processing
Egg Processing
Bakery and Snack Food Processing
Fruit and Vegetable Processing
Canning, Pasteurizing, UHT and Aseptic Operations
Ice, Drink, Beverage Processing
Confectionary Manufacturing
Preserved Food Manufacturing
19.
20.
21.
22.
23.
24.
25.
26.
27.
28.
29.
30.
31.
32.
33.
34.
35.
Food Ingredient Manufacture
Recipe Meals Manufacture
Oils, Fats, and the Manufacture of oil or fat-based spreads
Processing of Cereal Grains and Nuts
Food Catering and Food Service Operations
Food retailing
Fresh Produce Wholesaling and Distribution
Food Wholesaling and Distribution
Manufacture of Food Sector Packaging Materials
Provision of Crop Spray Services
Provision of Field Harvest Services
Provision of Sanitation and Hygiene Services
Manufacture of Dietary Supplements
Fertilizer Manufacture
Manufacture of Agricultural Chemicals and Food Processing Aides
Manufacture of Animal Feeds
Broker or Agent
Registrations by Country
(July 2012-October 2013)
Un ited States
Minor Islands
Vietnam
Af ganistan American Samoa
Au stralia/NZ
China
Chile
Bahamas
Dominican Republic
Fiji
Gu atemala
Can ada
Honduras
In dia
Un ited States
Japan
In donesia
K
orea
Malaysia
Marshall Islands
Mexico Netherlands
Su riname
Taiwan
Thailand
Pan ama
Peru
Pu erto
Ric o
Ru ssian
Federation
2013 SQF Information Day
April
Chicago, IL - April 18th
June
Sacramento, CA - June 3rd
Dallas, TX - June 5th
Philadelphia, PA - June 7th
July
Vancouver, Canada - July 9th
Montreal, Canada - July 11th
August
Mexico City, Mexico - August 13th
Guadalajara, Mexico - August 15th
September
Sydney, AU – September 10th
Melbourne, AU – September 12th
Seoul, South Korea – September 16th -- Cancelled
Tokyo, Japan – September 18th
2013 SQF Information Day
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11 Days
5 Countries
37,000 Miles
500 Attendees
2014 SQF Information Day
Will there be
another tour in
2014?
Training Update
1.
2.
3.
4.
Professional Updates
Learning Lunches
Lead Auditor Training
Implementing SQF Systems
– Online Course
– Exams
5. Advanced Practitioner
– Credential
– Course
19
2014 Professional Updates
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January 29 – 7-11pm (eastern US)
April 2 – 11-2pm (eastern US)
July 16 – 7-11pm (eastern US)
November – SQF Conference
December 3 – 11-2pm (eastern US)
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SQF Learning Lunches
 One hour webinar
 Learn the latest food
safety information
 Open to all SQF
stakeholders
 Sessions are free
 Register at sqfi.com
Previous Webinars (available on the SQFI
website):
“Implementing an SQF System to Meet the FDA FSMA
Proposed Preventive Control Rules”
Guest speaker: Dr. David Acheson, Leavitt and
Partners
“5 tips for Conducing a Successful Internal Audit”
Guest speaker: Gary Smith, Technical Director, SAI
Global
Upcoming Webinar:
“Implementing an SQF System to Meet the FDA FSMA
Proposed Produce Safety Standards”
Guest speaker: Dr. David Acheson, Leavitt and
Partners
21
2014 SQF Auditor Training
• Lead Auditor (Chicagoland area)
– March 3-7
– August 25-29
– December 8-12
• Auditing SQF Systems (Chicagoland area)
– March 5-7
– August 27-29
– December 10-12
Implementing SQF Systems
Online
• Course:
– Available in English and Spanish
– Updated to SQF Code, 7.1
• English, Spanish to come
• Workbook tool
• Exam:
– Available in English and Spanish
• English updated to 7.1
Implementing Online Course English
24
Implementing Online Course Spanish
25
SQF Advanced Practitioner
• Goal is to develop a one-day course to provided advanced
implementation tools to advance food safety in the
operation
• Small committee with a variety of SQF stakeholders,
including training centers, is developing the material
• The course will be piloted at the SQFI International
Conference in November
• Materials to be finalized in Q1- 2014
• Trainers must go through a train-the-trainer (to be held in
Q2-2014)
Course Content
Activity based sessions covering three topics:
1. Using the internal audit program to manage, maintain and enhance the SQF system
– Best practice on how to conduct internal audit
– Taking the results and assigning risk and criticalities –observations and gaps that
require immediate action
2. Utilizing the corrective action/preventive action process as a tool to identify trends and
building continuous improvement
– Best practices for developing corrective action and preventative action processes for
collaboration and effective implementation.
– Tips and tools for measuring and develop trend analysis
3. Communicating with senior management to improve demonstration of management’s
commitment and to prioritize and develop key performance indicators.
– Improving operational efficiencies and quality and creating KPIs
– Taking the trend analysis and creating action and opportunities for improvement
– How to build a food safety program that includes an ROI.
Technical Session
1.
2.
3.
4.
5.
Compliance and Integrity
GFSI Submitted Scopes
Technical Documents
Changes to 7.2
FAQs
28
Compliance Program
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Recalls 2013
Suspension summary
Withdraw case summary
Complaint
Supplier survey
Audit report
29
Recalls 2013
• Cyclospora
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Salad mix products
278 illness in TX
153 illness in IA
Initiated in Mexico
• Salmonella spp.
– Chicken products (USA)
• 41 illness in 20 states
– Ham products (UK)
• 22 illness
• Listeria monocytogenes
– Cheese products
– 2 illness
– Initiated in USA
• E. coli O157:H7
–
Watercress products
– 4 illness
– Initiated in UK
• Vibrio parahemolyticus
– Raw oyster
– 50 illness
– Initiated in USA
• Hepatitis A
– Frozen organic fruit products
– 119 illness
– Initiated in USA
30
Recalls 2013
• 1553 total recalls from public notification
• 90 recalls from SQF certified suppliers (as of October 15th)
– 5.8% out of total recalls
2013 Recalls Hazards
• Classified
– Biological
27.75%
Biological
30.52%
Chemical
– Chemical
Physical
7.53%
Other issues
– Physical
34.19%
– Other
n+1553
• Incorrect label (other than allergens)
• Flavor missing
Data obtained October 15, 2013
31
SQF Certified Suppliers Recalls
• SQF Code part A, 5.3
– Supplier shall inform SQFI within 24 hours when there is
a food safety event requires public notification
– CB shall notify with follow up actions taken within 48
hours to SQFI
• Initial source : Food Track Food Safety Incidents
email alert
– 1.4% from suppliers in 2012
– 28% from suppliers in 2013
32
SQF Certified Suppliers Recalls
• A major non-conformance will be raised at
the next re-certification audit for unreported
recalls
• CB is copied on email notification
– Started September, 2013
33
SQF Certified Suppliers Recalls
• Initial source
– 28% from supplier- within 24 hours of issuing recall
– 72% from public notifications (FDA/USDA email alert,
CFIA alert etc.)
• 50% of recalls came from the supplier within 24 hours after a
public notification
– 44% of recalls followed up by CB
• 6.7% of recalls came from the CB
• 4.4% of recalls were caused by other sources
34
Recalls from SQF Certified Facilities
• 82 recalls from SQF certified suppliers during Q1-Q3,2013
– 71% in USA
• 44 recalls in Q4,2012
– 86% in USA
2013 Q1-Q3 SQF Certified
Suppliers Recalls
2012 vs. 2013 Recalls from SQF
Certified Suppliers
38
40
5.13%
35
25.64%
1.28%
73.08%
30
Australia
25
Canada
20
Thailand
15
USA
10
5
26
1516
1 1 2 2
5 6
9
Australia
0 0 0 1
Canada
Data obtained through September 30, 2013
2013-Q1
2013-Q2
2013-Q3
5
0
2012-Q4
Thailand
USA
Reasons for Recalls
•
–
–
–
–
•
26%
30%
Biological
Chemical
Physical
Allergen/GMO undeclared
Others (chemical residue)
Physical hazards
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•
Salmonella spp., Listeria monocytogenes
Hepatitis A (frozen fruit)
Vibrio parahemolyticus (oysters)
Others (risks of mold)
Chemical hazards
–
–
•
2013 Q1-Q3 Recall Hazards
Biological hazards
44%
Foreign materials contamination
4.4% of recalls were caused by other sources
Recall Hazards Distribution
Quarterly
80%
60%
40%
20%
0%
Biological
Chemical
Physical
Recall Hazards By Countries
120%
100%
100%
80%
60%
2012-Q4
43%
45%
12%
2013-Q1
27%
37%
36%
2013-Q2
23%
58%
19%
2013-Q3
43%
39%
18%
40%
20%
50%
20% 20%
Biological
50%
47%
30%
20%
25% 28%
Chemical
Physical
0% 0%
0%
Australia
Data obtained through September 30, 2013
Canada
Thailand
USA
36
2013 Recalls by FSC
• 18 FSCs out of 35 were involved
• 20% of the recalls fall under FSC 13
– Allergen undeclared
– Foreign materials contamination
• 20% of the recalls fall under FSC 8
– E. coli O157:H7 contamination
25.00%
20.73%
20.73%
20.00%
14.63%
15.00%
13.41%
10.98%
10.00%
7.32%
5.00% 3.66%
2.44%
6.10%
4.88%
3.66%3.66%3.66%
6.10%
1.22%
3.66%
2.44%
2.44%
Food Sector Catogory
0.00%
Data obtained through September 30, 2013
37
Recalls 2014
• Continue to track and document
– FDA, USDA, Food Track, Foodsafety.gov etc.
– Exploring more sources for receiving notifications
• Suppliers and CBs:
– Contact SQFI within 24 hours
• [email protected]
– Follow up actions taken by CB within 48 hours
• Purpose
– Track the type and nature of the recalls to be prepared to address
the media and SQF Stakeholders
– Identify areas that should be strengthened or added in the SQF
Code
2013 Suspended Sites Summary
• 51 sites suspended in 2013 Q1 – Q3
– 19 in 2012 Q4
• 56.9% of suspended sites located in Australia
• 3.9% sites withdrawn after suspension
• 45.1% certificates re-instated after suspension
2013 Suspension Sites Distribution
25.49%
Australia
Canada
3.92%
56.86%
13.73%
Data through September 30, 2013
Mexico
USA
39
Suspension Criteria
• Maintain the integrity of SQF certificate
• Reason for suspension (Code, Part A, 4.5)
– Failed in a re-certification facility audit
– Received a critical during a surveillance audit
– Failed to submit the corrective actions within the required time
frame
5.88%
– Others determined by CB
Failed in the
certification/recertification audit
13.73%
Received a critical in a
surveillance audit
9.80%
70.59%
Failed to submit the
corrective actions within
the requried time frame
Others
Data through September 30, 2013
40
Certificate Withdrawal Summary
• Maintain the integrity of SQF
certificate
– Code Part A, 4.6
• 49 certificates withdrawn
– 2013 Q1-Q3
– 51% in Australia
• Failed to implement corrective
actions after suspensions
• Supplier cancelled the SQF
program
• Business is closed
2013 Withdraw Sites Distribution
50% 46.94%
45%
40%
35%
26.53%
30%
25%
20%
12.24%
15%
6.12%4.08%
10%
2.04%
2.04%
5%
0%
Certificates
Withdraw
Reasons for Certificates Withdraw
12.24%
Business is closed
40.82%
SQF program is
cancelled
Failed to implement CA
46.94%
Data through September 30, 2013
41
Complaints and Feedback
• Identify areas that should
be strengthened or added
in the SQF Code
• SQF complaint log
– Established end of 2012
• Link on SQFI website
(sqfi.com)
• 18 complaints were
received in 2013 Q1-Q3
42
Complaint Summary
•
•
18 complaints were received in 2013 Q1-Q3
Complaints
– Auditors, e.g. cancel the audit in the last minute without notification right before the
audit
– CB, e.g. delay of audit report/certificate
– SQF program, e.g. complicated audit procedure
– Supplier, e.g. integrity of the SQF program at the facility is not maintained
Reason for Complaint
11.11%
22.22%
Certified Auditor
Certified Supplier
33.33%
33.33%
Data obtained through September 30, 2013
Licensed CB
SQF Program
43
Supplier Survey 2013
• Survey issued via Survey Monkey
– Link is available on SQFI website (sqfi.com/suppliers)
– Emails sent to certified suppliers
• Quarterly report sent to each CB
• Continue to monitor
– Started in 2011
• Purpose
– Better oversight of auditor performance
– Identify areas that should be strengthened or added in
the SQF Code/SQF training
Supplier Survey 2013
• 525 responses in 2013 Q1-Q3
– Approximately 300 certified suppliers per month
– 80% Licensed Certification Bodies (CB) involved
• Audit time management
• Consulting
– Consulting is prohibited during an SQF audit
– 86% not consulting
• Auditing performance
–
–
–
–
Professional knowledge
Interviewing the staff
Language
Gestures
Supplier Survey 2013
• Consistent performance /qualified auditors
– AIB
– NSFI
– Silliker
• Audit duration vs. time management
–
–
–
–
2% of response show suppliers felt rushed during the audit
4% of response show suppliers felt too much waste time
68% of responses show auditor spend more than 60% time auditing facility
50% actually spend 80% auditing the facility
• Overall performance
– 90% of response show auditors received rating >8 out of 10
– Average rating: 9.0
Distribution of Certified
Supplier Survey 2013-Q3
•
Australia
– 71% spend 80% of their time
auditing facility
•
4.58%
Canada
0.65%
– 67% spend 80% of their time
auditing facility
•
9.80%
Australia
Japan
Canada
Japan
– 100% spend 80% of their time
auditing facility
•
1.96%
Mexico
USA
83.01%
Mexico
– 67% spend 80% of their time
auditing facility
•
USA
– 50% spend 80% of their time
auditing facility
Data obtained through September 30, 2013
47
Supplier Survey 2013-Q3
• Certification facility audit
– 61% spend 80% of their time
auditing facility
– 76% spend more than 60% of
their time auditing facility
1.96%
24.84%
• Re-certification facility audit
– 45% spend 80% of their time
auditing facility
– 66% spend more than 60% of
their time auditing facility
Certification facility audit
Re-certification facility audit
Surveillance audit
73.20%
• Surveillance audit
– 67% spend 80% of their time
auditing facility
Data obtained through September 30, 2013
48
Survey Comments
Strengths
• Excellent knowledge
• Good understanding of
industry knowledge to
bring a realistic application
of the SQF Code
• Overall professionalism
• NCs addressed properly
• Good interviewing skills
Challenges
• Auditors are biased
– Auditing against guidance or
other standard
• Audit duration unbalanced
• Time management
• Delay of issuing draft audit
report
49
Audit Report Review
• Sampling reports review
– When supplier is involved in a recall
– Quarterly review
• Focus on non-conformances
• Purpose
– Overview of facility information
– Identify areas that could be strengthened or
added in the SQF Code/SQF training
Top 10 Non-conformities
Level 2 Facility Audit
Level 3 Facility Audit
Clause
47.69%
52.31%
49.55%
50.45%
45.74%
54.26%
50.45%
49.55%
41.99%
58.01%
53.64%
46.36%
49.42%
50.58%
44.06%
55.94%
52.53%
47.47%
50.79%
49.21%
11.2.12.1 Equipment, Utensils and Protective Clothing
2.4.3.1 Food Safety Plan (2, 3) (M)
11.2.3.1 Walls, Partitions, Doors and Ceilings
11.2.13.1 Cleaning and Sanitation
11.2.2.1 Floors, Drains and Waste Traps
2.2.2.2 Records (2, 3) (M)
11.2.7.1 Dust, Fly and Vermin Proofing
11.7.5.3 Control of Foreign Matter Contamination
2.1.6.3 Business Continuity Planning (2, 3)
11.2.9.2 Premises and Equipment Maintenance
51
Top 10 Non-conformities, cont.
Minor
11.2.12.1 Equipment, Utensils and
Protective Clothing
11.2.3.1 Walls, Partitions, Doors and
Ceilings
2.4.3.1 Food Safety Plan (2, 3) (M)
11.2.2.1 Floors, Drains and Waste Traps
11.2.13.1 Cleaning and Sanitation
2.2.2.2 Records (2, 3) (M)
11.2.7.1 Dust, Fly and Vermin Proofing
11.7.5.3 Control of Foreign Matter
Contamination
2.1.6.3 Business Continuity Planning (2,
3)
11.2.9.2 Premises and Equipment
Maintenance
Major
Critical
2.4.3.1 Food Safety Plan (2, 3) (M)
2.4.3.1 Food Safety Plan (2, 3) (M)
2.3.1.3 Specification and Product
Development (2, 3)
2.4.3.1 Food Safety Plan (2D, 3D) (M)
2.5.1.2 Responsibility Frequency and
Methods (2D)
2.5.2.1 Validation and Effectiveness
(2D) (M)
2.6.3.1 Product Withdrawal and Recall
(2D, 3D) (M)
11.2.12.1 Equipment, Utensils and
Protective Clothing
2.3.1.1 Specification and Product
Development (2D, 3D)
2.8.2.1 Allergen Management (2, 3)
11.7.5.1 Control of Foreign Matter
Contamination
11.2.13.1 Cleaning and Sanitation
2.8.2.1 Allergen Management (2D, 3D)
11.2.11.1 Management of Pests and
Vermin
11.6.1.3 Cold Storage, Freezing and
Chilling of Foods
11.5.6.2 Analysis
2.3.2.2 Raw and Packaging Materials
(2D, 3D)
11.2.8.1 Ventilation
2.2.2.2 Records (2, 3) (M)
11.5.2.1 Monitoring Water Microbiology
and Quality
52
Top Non-Conformities –
Modules 2 and 11
Module 2
2.4.3.1 Food Safety Plan (2, 3) (M)
Module 11
11.2.12.1 Equipment, Utensils and
Protective Clothing
11.2.3.1 Walls, Partitions, Doors and
Ceilings
2.2.2.2 Records (2, 3) (M)
2.1.6.3 Business Continuity Planning (2,
3)
11.2.13.1 Cleaning and Sanitation
2.6.3.1 Product Withdrawal and Recall
(2, 3) (M)
11.2.2.1 Floors, Drains and Waste Traps
2.8.2.1 Allergen Management (2, 3)
11.2.7.1 Dust, Fly and Vermin Proofing
2.1.6.2 Business Continuity Planning (2, 11.7.5.3 Control of Foreign Matter
3)
Contamination
Recall involved supplier audits
Product withdraw and recall
Management responsibilities
Contract service provider
Equipment, Utensils and Protective
Clothing
Management of pests and vermin
Cleaning and sanitation
Staff engaged in food handling
processing operations
2.6.2.1 Product Trace (2, 3) (M)
11.2.9.2 Premises and Equipment
Maintenance
11.2.11.1 Management of Pests and
Vermin
2.9.7.1 Training Skills Register (2, 3)
2.1.6.2 Business Continuity Planning
(2D, 3D)
Walls, partitions, doors and ceilings
11.4.1.1 Staff Engaged in Food Handling
and Processing Operations
11.7.5.4 Control of Foreign Matter
Allergen management
Contamination
2.2.1.2 Document Control (2, 3) (M)
Jewelry and personal effects
53
Integrity Program 2013
• Applicable to all stakeholders (CB, Supplier, Auditor, Training
Center, Consultant)
• Started preparation in Q3, 2013
– Implementation to be started in Q4
• Follow up audits on SQF facilities
• Witness audits of SQF Auditors
• CB office visits
– Questions checklist procedure
• Triggered by complaint, review of audit report
• Form partnerships with selected suppliers and CBs for pilot
program
CB Sub-Committee Report
1. Witness Audit Template
2. Auditor Criteria
55
CB Working Groups on
Auditor Competency
Two committees developed for Auditor
Competency
1. Witness Audit Template – LeAnn Chuboff
2. Auditor Criteria – Melody Ge
Witness Audit Sub-Committee
Members:
• Gary Smith (SAI Global/Steritech) -- Chair
• Rena Pierami (Silliker)
• Robert Prevendar (NSF)
• TBD (NSF)
• Jorge Acosta (SGS)
• Ben Marchant (NCSI)
• SQF Staff Liason
Objective:
• To develop a draft of a dynamic auditor assessment tool, issue the draft to CBs
for testing, and build a tool that is used by CBs and ABs within the SQF program
to facilitate consistent assessment of auditors
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Auditor Criteria Sub-Committee
Members:
• Skip Greenaway (Eagle) – Chair
• Kim Onett (Silliker)
• Jane Griffith (ASI)
• Robert Prevendar (NSF)
• TBD (NSF)
• Jessica Osborne (Eagle)
• Kathleen Wybourn (DNV)
• Heena Patel (SGS)
• Melody Ge, SQFI (Staff Liaison)
Objective:
• Purpose is to provide analysis of current auditor criteria with a goal of driving
improvement to align with stakeholder and industry expectations and
requirements.
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Auditor Criteria Sub-committee
(ACS)
• Objective/scope of ACS
• Role of ACS with SQFI
• Future Meeting Schedule
– January & March Conference Call Meeting in
Prep for Spring CB Meeting
– June & September Conference Call Meeting in
Prep for CB Meeting at SQF Conference
• Open Discussion
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ACS Discussion
• Proposed definition for RABQSA of High and Low Risk
Auditor Qualifications/Competencies and Category Needs
– High Risk A food or food product with all the attributes (available
water, nutrients, pH, time, temperature) for microbiological growth
which due to a process type may allow for the survival of pathogenic
microbial flora or contamination with pathogenic microbes which, if
not controlled, may contribute to illness of the consumer or a
process whose control requires sensitive procedures to reduce the
ability for undue contamination of a food which could cause injury to
consumers.
– Low Risk A food or food product that does not contain all the
required attributes for microbiological growth to sustain the survival
of the pathogenic microbial flora or contains inhibitory materials
which can reduce the ability for microbiological survival.
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ACS Discussion
• GFSI Auditor Packaging Qualification
Requirements
• Auditor Internships and Cooperative
Programs with Universities and Industry
• Next steps for committee in 2014
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GFSI Submitted Scopes
Module 3: GMP for Animal Feed Production(FSC: 34)
Submitted to GFSI for benchmarking
Module 4: GMP for Processing of Pet Food (FSC: 32)
Submitted to GFSI for benchmarking
Module 5: Farming of Animals (FSC: 1)
 Approved
Module 6: Farming of Fish (FSC: 6)
not benchmarked; need 10 certificates
 Approved
Module 7: Farming of Plants (FSC: 3)
Module 7H: Farming of Plants(FSC: 3)
Preparing to submit to GFSI
Module 8: Farming of Grains and Pulses (FSC: 5)
not benchmarked; need 10 certificates
 Approved
Module 9: Animal Conversion (FSC: 7)
Module 10: Pre Processing Handling of Plant Products (FSC: 4)
 Approved
 Approved
Module 11: Processing of Animal Perishable Products (FSC: 8,9,10,11, 12)
 Approved
Module 11: Processing of Plant Perishable Products (FSC: 14, 22)
Module 11: Processing of Animal and Plant Perishable Products (FSC: 20, 21)
 Approved
Module 11: Processing of Ambient Stable Products (FSC: 13, 15, 16, 17, 18)
 Approved
Module 12: Provision of Transport and Storage Services (FSC 25, 26)
Preparing to submit to GFSI
 Approved
Module 11: Production of (Bio) Chemicals (FSC: 19, 31)
 Approved
Module 13: Production of Food Packaging (FSC: 27)
Technical Documents
• SQF Code, edition 7.1
summary of code changes
• Supplier and Auditor
Guidance Document for
module 2 and 11
• Combined SQFAD checklist
for modules 9 and 11 now available
• SQF / FSMA comparison
• Printable checklist (to
include 7.1 edits) available
via the SQF website for
purchase
• Guidance document for
feed and pet food modules
• Guidance documents for
Distribution and Packaging
coming 2014
www.sqfi.com/documents
Changes to 7.2
1. Establishing the scope of certification
2. Product list on the SQF Certificate
3. Seasonal Product
4. Switching CBs
5. Understanding the SQF Practitioner per site
6. Viewing results of non-conforming product
7. Adjusting the code requirement for compressed air
8. Viewing regulatory reports and warning letters
9. Multi-site requirements
10.Use of the Quality Shield
11.Adding modules
12.Unannounced audits
13.Other areas for discussion.
SQF Code
A HACCP-Based Supplier Assurance
Code for the Food Industry
Edition 7.1
July 2013
Edition 7.2
July, 2014
© 2012 Safe Quality Food Institute
2345 Crystal Drive, Suite 800
Arlington, VA 22202 USA
202-220-0635
www.sqfi.com
Issues and FAQs
•
•
•
•
•
•
•
Auditor re-registration; webinar attendance
Exempt/N/A raised against mandatory elements
Recall notification
SQF Practitioner requirements – training of
No desk audit moving from L2 to L3
Changing CBs
Ratio of OIPs/minors/Majors. Auditing to the score
rather than the program
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SQFAD Update
Michael Farrell – Specialist,
Electronic Data Systems
Guiding Principles
•
•
•
•
•
Adherence to the SQF Code
Data Integrity
Reliability
Security
Performance
Project Process Map
Idea Generation /
Problem
Identification
Requirements
Gathering
Allocate resources
and assign
responsibilities
Submit
Requirements
Document to EtQ
Test
Review Testing
Outcomes
Tech,
DB
Tech, DB,
EtQ
DB, EtQ
DB
Implement to
Training Environment
DB, EtQ
Determine
Deliverables and
Project Timeline
Review Deliverables
with Tech Team
Review and
Sign SOW
Implement to
Development
Environment
DB, EtQ
DB
DB
Reconfigure based
on testing outcomes
Tech, DB, EtQ
Tech, DB
Final Test and
Verification
DB
Launch
DB
DB, EtQ
Test
DB, EtQ
Communication to
Stakeholders
User Testing
Tech,
DB
DB
DB
Implement to
Production
Environment
DB, EtQ
SQF Assessment Database
Update
•
•
•
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•
•
•
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Audit Reports
Offline Audit Tool V3
Code Edition
FSC and CB on Registration
CB Admin Access Meetings
CB Survey Results
Upcoming Projects
Projects for 2014
Audit Report Creation
• The ability to create the audit report from the Audit Plan is
now available upon the audit phased to Approval
Audit Report View
• Now accessible through he audits module,
suppliers, CB’s and buyers have access to
applicable Audit Reports
Offline Audit Tool V3
• Now Available for download from the SQF
Assessment Database
Code Edition: Audit Plan
• Now required on the audit plan, you will see
the drop down for the Code Edition
•
• For all new audits, the selection will be 7.1
• For any surveillance audit for audits that had
been conducted based on 7.0, the selection
will be 7.0
Code Edition: NC Summary Report
• After being selected, this information will
populate the NC Summary Report
•
Code Edition: Certificates
FSC and CB on Registration
• Applicable Food Sector Categories as well as
Certification Body selection is now required
for all new registrations.
Results of CB Admin
Access Meetings
Ability to correct dates throughout all modules
Ability to create Failed Audit Certificate
Ability to create Corrective Actions Report
Ability to void an audit
Access to all phases of the workflow during an
audit
• Ability to amend audit dates and lead auditor in
issued checklist
•
•
•
•
•
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Results from CB Surveys
•
•
•
•
•
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Greater level of access over audits
Correcting Certificate Dates
Notifications
Address Changes for Supplier Profiles
More control over Corrective Actions
Ability to conduct Surveillance Audits
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Upcoming Projects
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•
•
•
•
•
Suspension Process
Surveillance Audits
Withdrawn Sites
Certificate Dates
Corrective Action Report
Notifications
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Projects for 2014
•
•
•
•
CB Admin Access
Development of SQFAD Version 11
RABQSA & iCiX Integration
Reporting
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Closing Session
• Other Business
• Next Meeting
• Adjournment