Tips and Traps for SQF 7.1: Understanding Top 10 Non-conformances

2,847 views

Published on

Webinar slides hosted by Bill McBride
13 November, 2013

Published in: Technology, Business
0 Comments
0 Likes
Statistics
Notes
  • Be the first to comment

  • Be the first to like this

No Downloads
Views
Total views
2,847
On SlideShare
0
From Embeds
0
Number of Embeds
7
Actions
Shares
0
Downloads
44
Comments
0
Likes
0
Embeds 0
No embeds

No notes for slide

Tips and Traps for SQF 7.1: Understanding Top 10 Non-conformances

  1. 1. Tips and Traps for SQF 7.1: Understanding NonTop 10 Non-conformances Bill McBride 13 November, 2013
  2. 2. General Disclaimer Opinions expressed by or on behalf of SAI Global published through MyTutor or presented during MyTutor live webinars is provided as general guidance only and does not amount to formal legal or other professional advice. SAI Global does not warrant the accuracy or completeness of information given or its fitness for any particular purpose. To the extent permitted by law SAI Global accepts no liability for any claims for loss or damage whether caused by its negligence (or that of any of its agents or employees) or otherwise. For full terms and conditions of use, please visit www.saiglobal.com/terms
  3. 3. Introductions • Based in Sydney, Australia • Asia Pacific Representative for SQF program • Chairman of the GFSI Auditor Competence Scheme Committee • CEO of Foodlink Management Services since 1998 • Forty years experience in food and beverage manufacturing, quality management, food safety systems. 3
  4. 4. Agenda • Welcome and Introductions • The relationship between SQFI and GFSI • The difference between the SQF Code, edition 7 and earlier versions • Top Non-conformances (NCRs), module 2 and module 11 • Common themes in NCRs: • Management Responsibility • Business Continuity Planning • Food Safety Plan • Internal Audits • Corrective and Preventative Action • Tips for Compliance • Q&A
  5. 5. GFSI Mission and Objectives Provide continuous improvement in food safety management systems to ensure confidence in the delivery of safe food to consumers worldwide Reduce Food Safety Risks Manage Cost in the Supply Chain Develop Competencies and Capacity Building Knowledge Exchange and Networking
  6. 6. GFSI - A Collaborative Approach Government Certification Bodies Scheme Owners Suppliers Retailers Accreditation Bodies Academia International Organisations Service Providers Food Service
  7. 7. The GFSI Guidance Document multiA multi-stakeholder document that: › Sets out the requirements for food safety management schemes and the key elements for the production of food, feed, packaging, etc › Provides guidance to schemes seeking compliance with the GFSI Guidance Document and recognition by the GFSI › Defines the requirements for the effective management and control of conforming schemes › Puts in place transparent procedures for the GFSI benchmarking process
  8. 8. SQF Code Revision The publication of edition 6 of the GFSI Guidance Documented presented SQFI with a challenge, and an opportunity to review the SQF 2000 and SQF 1000 Codes and revise as necessary before resubmission
  9. 9. Revised SQF Code - Format Part A: Implementing and Maintaining the SQF Code 1. Preparing for SQF certification 2. The Certification Process 3. The Certification Decision 4. Surveillance and Re-certification 5. Obligations of Suppliers and Certification Bodies Part B: The SQF Code Module 1: Scope, References, and Definitions Module 2: SQF System Elements Modules 3 – 15: Food Safety Fundamentals (GAP/GMP) Module 16: Multi-site Program Appendix 1: Food Sector Categories Appendix 2: Glossary Appendix 3: SQF Quality Shield and Logo
  10. 10. The SQF Code, edition 7 Implemented July 2012 Module 2: SQF System Elements (applies to all Suppliers) Approved Module 3: GAP for Single Feed Production (TBD) Module 4: GAP for Compound Feed Production (TBD) Approved Module 5: Farming of Animals (FSC: 1) Module 6: Farming of Fish (FSC: 6) not benchmarked; need 10 certificates Approved Module 7: Farming of Plants (FSC: 3) not benchmarked; need 10 certificates Module 8: Farming of Grains and Pulses (FSC: 5) 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) Approved 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) Module 12: Provision of Transport and Storage Services (FSC 25, 26) not benchmarked Module 11: Production of (Bio) Chemicals (FSC: 19, 31) Approved Module 13: Production of Food Packaging (FSC: 27) Approved
  11. 11. The SQF Code, edition 7.1 Implemented July 2013 Key Changes: Approximately 50 changes Addition of the feed, pet food and Harmonized produce module Realignment of FSCs 32, 33 and 34 Added requirement for the auditor to review the entire facility, regardless of the scope of certification The addition of requiring facilities to report all regulatory warning letters to SQF (of public nature) An additional element that requires the facility to follow the requirements of the Quality Shield Added an element on air and water quality to comply with GFSI distribution Guidance Document
  12. 12. The SQF Code, edition 7.1 Implemented July 2013 Module 2: SQF System Elements (applies to all Suppliers) 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) Module 6: Farming of Fish (FSC: 6) 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) Module 9: Animal Conversion (FSC: 7) Module 10: Pre Processing Handling of Plant Products (FSC: 4) Module 11: Processing of Animal Perishable Products (FSC: 8,9,10,11, 12) Module 11: Processing of Plant Perishable Products (FSC: 14, 22) Module 11: Processing of Animal and Plant Perishable Products (FSC: 20, 21) Module 11: Processing of Ambient Stable Products (FSC: 13, 15, 16, 17, 18) Module 12: Provision of Transport and Storage Services (FSC 25, 26) Module 11: Production of (Bio) Chemicals (FSC: 19, 31) Module 13: Production of Food Packaging (FSC: 27) Preparing to submit to GFSI
  13. 13. Modules in Development • Module 14 GMP for Food Brokers (FSC 35)* • Module 15 GMP for Retail (FSC 24)* • * GFSI recognition will only apply once GFSI Guidance is available for these sectors, and SQFI has requested an extension
  14. 14. Top Non-Conformances Certification Audits Module 2 2.1.6.1 Business Continuity Planning 2.3.2.1 Raw and Packaging Materials 2.1.2.1 Management Responsibility 2.3.3.1 Contract Service Providers 2.5.7.1 Internal Audits 2.5.2.1 Validation and Effectiveness 2.3.1.4 Specification and Product Development 2.8.2.1 Allergen Management 2.1.2.5 SQF Practitioner 2.4.5.4 Incoming Goods and Service Module 11 11.2.13 Cleaning and sanitation 11.7.5. Control of Foreign Matter Contamination 11.2.3 Walls, Partitions, Doors and Ceilings 11.2.12 Equipment, Utensils and Protective Clothing 11.2.9 Premises and Equipment Maintenance 11.6.1. Cold Storage, Freezing and Chilling of Foods 15
  15. 15. Top Non-Conformances Re-certification Audits Module 2 Module 11 2.5.7.1 Internal Audits 11.7.5.4 Control of Foreign Matter Contamination 2.1.2.8 Management Responsibility 2.4.5.4 Incoming Goods and Services 2.1.4.5 Management Review 2.3.2.5 Raw and Packaging Materials 2.4.2.3 Food Safety Fundamentals 2.5.5.1 Corrective and Preventative Action 11.2.13.1 Cleaning and Sanitation 11.2.12.1 Equipment, Utensils and Protective Clothing 11.2.3.1 Walls, Partitions, Doors and Ceilings 11.2.13.1 Cleaning and Sanitation 11.2.10.4 Calibration 11.2.9.2 Premises and Equipment Maintenance 16
  16. 16. Top Non-Conformances Surveillance Audits Module 2 2.9.1.1 Training Requirements 2.5.7.1 Internal Audits 2.1.6.3 Business Continuity Planning 2.5.5.1 Corrective and Preventative Action 2.3.3.1 Contract Service Providers 2.2.2.3 Records 2.5.5.2 Corrective and Preventative Action 2.4.5.1 Incoming Goods and Services Module 11 11.2.13 Cleaning and Sanitation 11.7.5.4 Control of Foreign Matter Contamination 11.2.11.2 Management of Pests and Vermin 11.2.12.1 Equipment, Utensils and Protective Clothing 11.2.7.1 Dust, Fly and Vermin Proofing 11.2.3.1 Walls, Partitions, Doors and Ceilings 11.2.12.1 Equipment, Utensils and Protective Clothing 17
  17. 17. Common Themes– All Audit Types Module 2 Module 11 • Management Responsibility • Cleaning and Sanitation • Business Continuity Planning • Control of Foreign Matter Contamination • Food Safety Plan • Internal Audits • Equipment, Utensils and Protective Clothing • Corrective and Preventative Action • Walls, Partitions, Doors and Ceilings 18
  18. 18. Management Responsibility and SQF Certification • the difference between an effective, workable food safety management system and an ineffective system is the level of management commitment, and how that influences the attitudes and behaviour within the business. • Food safety culture is an integral part of an effective food safety management system. The two are not mutually exclusive. One is not an extension of the other. • A positive culture is necessary for the system to work – the system is necessary to underpin the culture. • Management must drive the positive culture Technology Systems Culture
  19. 19. 2.1.2 Management Responsibility • ……. organisational structure describing those with responsibility for food safety …….. • ……. ensure fundamental food safety practices are adopted and maintained …… • ……. ensure adequate resources are available …… • ……. designate an SQF Practitioner …….. • ……. establish (food safety) training needs ……. • ……. continuous improvement ……. 20
  20. 20. 2.1.6 Business Continuity Planning 2.1.6.1 A business continuity plan based on the understanding of known threats to a business shall be prepared by senior management outlining the methods and responsibility the organization will implement to cope with a business crisis that may impact on the ability of the supplier to deliver safe, quality food.
  21. 21. 2.4 Attaining Food Safety 2.4.1 Food Legislation • The organization shall ensure that, at the time of delivery to its customer, the food supplied shall comply with the legislation that applies to the food and its production in the country of its origin and destination…… 2.4.2 Food Safety Fundamentals • The supplier shall ensure the food safety fundamentals described in the relevant subsequent modules of this Code (eg module 11) are applied, or excluded according to a detailed risk analysis outlining the justification for exclusion or evidence of the effectiveness of alternative control measures to ensure that food safety is not compromised. 2.4.3 Food Safety Plan (Level 2) • A food safety plan shall be developed, effectively implemented, and maintained and outline the means by which the organization controls and assures food safety. 2.4.4 Food Quality Plan (Level 3) • A food quality plan shall be developed, effectively implemented, and maintained in accordance with the HACCP method.
  22. 22. 2.5.7 Internal Audits • Methods and responsibilities for scheduling and conducting internal audits to verify the effectiveness of the SQF system including facility and equipment inspections, PRPs, food safety plans, food quality plans, and regulation controls shall be documented and implemented o An internal audit schedule with scope and frequency o Corrections and corrective actions of deficiencies o Audit results are communicated to relevant management and staff o Records of internal audits and corrective actions • Staff conducting internal audits shall be trained in internal audit procedures
  23. 23. Benefits of a Strong Internal Audit Program • Drives continuous improvement • Promotes ownership of the entire SQF system • Promotes a food safety culture within your organization • Adds credibility to the audit results • Improves the audit score!
  24. 24. Challenges to an Internal Audit Program • Management commitment – if leaders do not take your results seriously, no one else will • Time management- letting issues pull you away from audit schedule or issuance of report • Conflict resolution – you and the plant manager can never seem to see eye to eye… • Bias – who audits you? Who can review the quality programs? • Ignoring previous issues for information – findings should be what is found during the audit only, not what was observed earlier
  25. 25. 5 Keys to Successful Internal Audit Programs 1. Define objectives of the Internal Audit Program with management to facilitate management commitment 2. Formalize the audit process 3. Communicate well 4. Manage Internal Audits as its own program 5. Use correction action management program (2.5.5) to manage and resolve internal audit findings
  26. 26. Tips for Compliance • How can a facility improve their audit performance? – Implement effective training programs – Know the standard and any updates – Conduct validation activities – Review facility condition – Maintain records – Conduct internal audits
  27. 27. Summary Ensure you have knowledge of the SQF Code. Edition 7.1, and how to implement it. Keep it simple. Don’t drown in paperwork. Have a strong internal audit program. Take it seriously. System implementation and maintenance must be a team approach. Success can be achieved through diligence, awareness and commitment from all levels of the organization.
  28. 28. SQF Technical Contacts North America LeAnn Chuboff Senior Technical Director lchuboff@sqfi.com Kristie A. Grzywinski Technical Manager kgrzywinski@sqfi.com Melody Ge Compliance Specialist mge@sqfi.com Australia, Asia Bill McBride Asia Pacific Representative bmcbride@sqfi.com.au General Info info@sqfi.com
  29. 29. Questions and discussion
  30. 30. Upcoming “SQF Implementation” dates 2013 Melbourne - 25 & 26 November 2014 Parramatta – 10 & 11 March Melbourne – 24 & 25 March Call 1300 727 444 for further information
  31. 31. Thank you for attending A recording of this webinar and unanswered questions will be available on the SAI Global ‘MyTutor’ portal • Visit saiglobal-mytutor.com • Call 1300 727 444 • Email training@saiglobal.com

×