Challenging Aspects of SQF Implementation: A CB’s Perspective Kimberly C Coffin 26 August 2010
What does ‘Challenging’ Mean? <ul><li>“ To make demands, esp. stimulating demands upon”  – The Concise Macquarie Dictionar...
How were the “challenging aspects” identified? <ul><li>Internal survey for feedback / input – auditors / administrators </...
Two distinct types of “challenges” identified <ul><li>Administrative Challenges </li></ul><ul><li>System development / ope...
Administrative Challenges
Administrative Challenges <ul><li>Registration / re-registration essential for scheduling of audit  </li></ul><ul><li>Limi...
Administrative Challenges <ul><li>Relationship between audit grade and frequency </li></ul><ul><ul><li>Grading scale/weigh...
System Development / Operational Implementation Challenges
Top Ten Non conformances – July 2009 – June 2010
GMP – Housekeeping/Facility Conditions <ul><li>Intent of the Standard </li></ul><ul><li>Buildings, equipment and infrastru...
GMP – Housekeeping/Facility Conditions <ul><li>Challenges for Compliance </li></ul><ul><ul><li>Lack of $$ </li></ul></ul><...
Food Safety/Quality Plans <ul><li>Intent of the Standard </li></ul><ul><li>Documented plan that outlines how food safety /...
Food Safety/Quality Plans <ul><li>Challenges for Compliance </li></ul><ul><ul><li>Familiarity with process and focus on ex...
Food Safety/Quality Plans <ul><li>Strategies for Improvement </li></ul><ul><ul><li>Identification of all process inputs </...
Foreign Object Control <ul><li>Intent of the Standard </li></ul><ul><li>Methods used to prevent foreign matter contaminati...
Foreign Object Control <ul><li>Challenges for Compliance </li></ul><ul><ul><li>Introduction by staff difficult to control ...
Premises / Equipment Maintenance <ul><li>Intent of the Standard </li></ul><ul><li>Methods for maintenance of plant / equip...
Premises / Equipment Maintenance <ul><li>Challenges for Compliance </li></ul><ul><ul><li>Maintenance personnel / departmen...
Business Continuity Planning <ul><li>Intent of the Standard </li></ul><ul><li>Assessment of threats to business and develo...
Business Continuity Planning <ul><li>Challenges for Compliance </li></ul><ul><ul><li>Lack of understanding regarding appli...
Business Continuity Planning <ul><li>Strategies for Improvement </li></ul><ul><ul><li>Senior management input/development ...
Auditor Feedback <ul><li>Two additional aspects of the standard highlighted as not clearly understood </li></ul><ul><ul><l...
Food Defense <ul><li>Need often questioned – “it won’t happen here”  </li></ul><ul><li>Addressed by several existing/curre...
Identity Preserved Foods <ul><li>Question: </li></ul><ul><li>When is compliance with Section 4.8.1 required? </li></ul>
Identity Preserved Foods <ul><li>Answer: </li></ul><ul><li>When handling/process controls are required for: </li></ul><ul>...
Auditor Feedback <ul><li>Requirements of SQF Practitioner not well understood </li></ul><ul><ul><li>Employee </li></ul></u...
Auditor Feedback <ul><li>Suppliers focused on meeting the prescriptive requirements of the standard  </li></ul><ul><ul><li...
Path to Successful SQF Implementation <ul><li>Competent SQF Practitioner to lead the way...with active involvement of the ...
Thank you Kimberly Coffin Technical Manager Email:  [email_address] Phone:  0403 047 651 Questions?? Therese Genders Busin...
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Challenging Aspects of SQF Implementation: A CB’s Perspective

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Challenging Aspects of SQF Implementation: A CB’s Perspective

  1. 1. Challenging Aspects of SQF Implementation: A CB’s Perspective Kimberly C Coffin 26 August 2010
  2. 2. What does ‘Challenging’ Mean? <ul><li>“ To make demands, esp. stimulating demands upon” – The Concise Macquarie Dictionary </li></ul><ul><li>Those aspects of the SQF implementation process that suppliers: </li></ul><ul><ul><li>Find difficult to understand the intent of the standard </li></ul></ul><ul><ul><li>Are unsure how it applies to their operation </li></ul></ul><ul><ul><li>Just plain don’t get </li></ul></ul><ul><ul><ul><ul><li>- Kimberly C Coffin </li></ul></ul></ul></ul>
  3. 3. How were the “challenging aspects” identified? <ul><li>Internal survey for feedback / input – auditors / administrators </li></ul><ul><li>Routine technical review of documents submitted for certification decisions </li></ul><ul><li>Analysis of non conformances raised – period July 2009 to June 2010 </li></ul>
  4. 4. Two distinct types of “challenges” identified <ul><li>Administrative Challenges </li></ul><ul><li>System development / operational implementation challenges </li></ul><ul><ul><li>Top 10 Non Conformances </li></ul></ul><ul><ul><li>Auditor Survey Feedback </li></ul></ul>
  5. 5. Administrative Challenges
  6. 6. Administrative Challenges <ul><li>Registration / re-registration essential for scheduling of audit </li></ul><ul><li>Limited window of use, e.g. annually, need to re-learn functionality / requirements </li></ul><ul><li>Selection of food sector category and associated products from a limited list of approved products </li></ul>
  7. 7. Administrative Challenges <ul><li>Relationship between audit grade and frequency </li></ul><ul><ul><li>Grading scale/weighting result in most audits with an “E” rating </li></ul></ul><ul><ul><li>Modified grading system will assist in making this clearer moving forward </li></ul></ul><ul><ul><li>Frequency still determined by the type and number of NCs identified in the certification/re-certification audit. </li></ul></ul><ul><ul><li>Audit grade does not change as a result of the six monthly surveillance audit </li></ul></ul>
  8. 8. System Development / Operational Implementation Challenges
  9. 9. Top Ten Non conformances – July 2009 – June 2010
  10. 10. GMP – Housekeeping/Facility Conditions <ul><li>Intent of the Standard </li></ul><ul><li>Buildings, equipment and infrastructure maintained to defined sanitary standards – Section 5 </li></ul>
  11. 11. GMP – Housekeeping/Facility Conditions <ul><li>Challenges for Compliance </li></ul><ul><ul><li>Lack of $$ </li></ul></ul><ul><ul><li>Demands for production time override time necessary for correction </li></ul></ul><ul><ul><li>Identification / reporting of deficiencies </li></ul></ul><ul><li>Strategies for Improvement </li></ul><ul><ul><li>Robust GMP inspection practices </li></ul></ul><ul><ul><li>Food safety/GMP prioritisation by maintenance staff </li></ul></ul><ul><ul><li>Effective corrective action review processes, including senior management </li></ul></ul>
  12. 12. Food Safety/Quality Plans <ul><li>Intent of the Standard </li></ul><ul><li>Documented plan that outlines how food safety / quality of products will be controlled/assured. </li></ul><ul><li>Based on the results of a hazard analysis </li></ul><ul><li>Controls validated / verified. </li></ul>
  13. 13. Food Safety/Quality Plans <ul><li>Challenges for Compliance </li></ul><ul><ul><li>Familiarity with process and focus on expected hazards </li></ul></ul><ul><ul><li>Identification of “quality” hazards and application of risk assessment principles </li></ul></ul><ul><ul><li>Timely identification of changes to product / process and assessment of the impact on controls in place </li></ul></ul><ul><ul><li>Lack of technical expertise required for the establishment of sound validation of controls </li></ul></ul>
  14. 14. Food Safety/Quality Plans <ul><li>Strategies for Improvement </li></ul><ul><ul><li>Identification of all process inputs </li></ul></ul><ul><ul><li>Detailed hazard analysis that is specific to products and processes </li></ul></ul><ul><ul><li>Consider customer requirements for “quality” attributes as part of the hazard analysis process </li></ul></ul><ul><ul><li>Establish prompts within the system to ensure that changes are evaluated </li></ul></ul><ul><ul><li>Detailed validation studies, including evidence of both theoretical and process capability </li></ul></ul>
  15. 15. Foreign Object Control <ul><li>Intent of the Standard </li></ul><ul><li>Methods used to prevent foreign matter contamination established </li></ul><ul><li>Includes glass, wood, metal, etc. </li></ul><ul><li>Audit outcomes demonstrate increasing number of deficiencies identified </li></ul>
  16. 16. Foreign Object Control <ul><li>Challenges for Compliance </li></ul><ul><ul><li>Introduction by staff difficult to control </li></ul></ul><ul><ul><li>Enforcement of policies difficult / time consuming </li></ul></ul><ul><ul><li>Identification / reporting of deficiencies </li></ul></ul><ul><li>Strategies for Improvement </li></ul><ul><ul><li>Elimination of clutter / sources of contamination </li></ul></ul><ul><ul><li>Provide adequate / designated areas for storage of tools, change parts, staff’s personal items </li></ul></ul><ul><ul><li>Encourage staff identification through active participation in identification, e.g. bag and tag </li></ul></ul>
  17. 17. Premises / Equipment Maintenance <ul><li>Intent of the Standard </li></ul><ul><li>Methods for maintenance of plant / equipment planned and completed to minimise risk to product </li></ul><ul><li>Specific area of concern related to: Section 6.6.2 - Instructions to Maintenance Personnel </li></ul>
  18. 18. Premises / Equipment Maintenance <ul><li>Challenges for Compliance </li></ul><ul><ul><li>Maintenance personnel / departments not commonly considered part of operations or contracted out </li></ul></ul><ul><ul><li>Breakdown maintenance presents urgent need for intervention </li></ul></ul><ul><ul><li>Risks to product inherent in the nature of work </li></ul></ul><ul><li>Strategies for Improvement </li></ul><ul><ul><li>Fully integrate maintenance personnel, practices and areas into controls </li></ul></ul><ul><ul><li>Formalise post maintenance handover process with shared responsibility </li></ul></ul><ul><ul><li>Establish defined toolbox controls and actively monitor compliance </li></ul></ul>
  19. 19. Business Continuity Planning <ul><li>Intent of the Standard </li></ul><ul><li>Assessment of threats to business and development of a plan that outlines methods to ensure continued delivery of safe / quality product </li></ul><ul><li>Specific area of concern related to annual testing / verification of plan </li></ul>
  20. 20. Business Continuity Planning <ul><li>Challenges for Compliance </li></ul><ul><ul><li>Lack of understanding regarding application to business and breadth of requirements </li></ul></ul><ul><ul><li>Source templates from websites and try to adapt </li></ul></ul><ul><ul><li>Availability / cost of formal training </li></ul></ul><ul><ul><li>Belief that mock recall or test of emergency evacuation systems will demonstrate compliance for annual test </li></ul></ul>
  21. 21. Business Continuity Planning <ul><li>Strategies for Improvement </li></ul><ul><ul><li>Senior management input/development essential </li></ul></ul><ul><ul><li>Clear definition of the types of crisis: </li></ul></ul><ul><ul><ul><li>internal – sabotage/fire </li></ul></ul></ul><ul><ul><ul><li>external – product tampering threat </li></ul></ul></ul><ul><ul><ul><li>acts of nature </li></ul></ul></ul><ul><ul><li>Detailed risk assessment for each crisis type, incl. impact on products, controls, contingencies in place </li></ul></ul><ul><ul><li>Involvement of external resources, incl. legal, insurers, technical experts </li></ul></ul>
  22. 22. Auditor Feedback <ul><li>Two additional aspects of the standard highlighted as not clearly understood </li></ul><ul><ul><li>Food Defense </li></ul></ul><ul><ul><li>Identity Preserved Product </li></ul></ul>
  23. 23. Food Defense <ul><li>Need often questioned – “it won’t happen here” </li></ul><ul><li>Addressed by several existing/current measures, but not commonly formalised into a single protocol </li></ul><ul><li>Strategies for Improvement: </li></ul><ul><ul><li>Adequacy of security controls better determined if viewed holistically </li></ul></ul><ul><ul><li>Conduct a risk assessment to proactively identify improvements to current security measures </li></ul></ul><ul><ul><li>Opportunities exist for links to Business Continuity Plans </li></ul></ul>
  24. 24. Identity Preserved Foods <ul><li>Question: </li></ul><ul><li>When is compliance with Section 4.8.1 required? </li></ul>
  25. 25. Identity Preserved Foods <ul><li>Answer: </li></ul><ul><li>When handling/process controls are required for: </li></ul><ul><ul><li>Ingredients containing allergen and sensitising agents </li></ul></ul><ul><li>When any of the following product claims are made: </li></ul><ul><ul><li>Organic, Kosher, HALAL, Gluten Free, Product of... </li></ul></ul>
  26. 26. Auditor Feedback <ul><li>Requirements of SQF Practitioner not well understood </li></ul><ul><ul><li>Employee </li></ul></ul><ul><ul><li>HACCP Training </li></ul></ul><ul><ul><li>Understanding of SQF code </li></ul></ul><ul><li>Use of a consultant does not preclude the need for a SQF Practitioner </li></ul><ul><li>Although not required for compliance, audit findings demonstrate greater understanding / better audit outcome if formal SQF training completed </li></ul>
  27. 27. Auditor Feedback <ul><li>Suppliers focused on meeting the prescriptive requirements of the standard </li></ul><ul><ul><li>Don’t often look beyond what is required for improvements, e.g. customer focus </li></ul></ul><ul><ul><li>Justification for exclusions often lacking in detail / evidence of risk assessment </li></ul></ul>
  28. 28. Path to Successful SQF Implementation <ul><li>Competent SQF Practitioner to lead the way...with active involvement of the senior management. </li></ul><ul><li>Take advantage of training offerings and guidance documents...these help with understanding intent. </li></ul><ul><li>Make it real...the system should reflect how and what you do. </li></ul><ul><li>Take the time...to develop, review and verify. </li></ul><ul><li>Keep it current...make certain prompts are in place to continuously improve procedures and methods of working. </li></ul>
  29. 29. Thank you Kimberly Coffin Technical Manager Email: [email_address] Phone: 0403 047 651 Questions?? Therese Genders Business Development Manager Email: [email_address] Phone: 0413 208 954

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