SQF Audit Essentials: Navigating the Certification Process
Reviewed and Edited by:
Dr. Ben Miller: EVP, Regulatory and Scientific Affairs at TAG
About the Editor:
Dr. Benjamin Miller is an esteemed expert in food safety regulation, epidemiology, outbreak investigation, and public health, with nearly 20 years of experience in the field. As Executive Vice President of Regulatory and Scientific Affairs at The Acheson Group (TAG), Dr. Miller has made significant contributions to food safety and public health.
Dr. Miller's expertise encompasses regulatory and crisis response, industry support during outbreak investigations, FSMA food safety assessments, COVID and public health client support, international regulatory support on microbiological and chemical issues, food safety culture assessments, and food traceability.
An SQF Audit is a critical evaluation designed to assess a company’s food safety and quality management system against the SQF Code’s rigorous standards. Companies in the food industry seek SQF Certification as a testament to their commitment to producing safe, quality food products. This certification, recognized globally, promotes confidence in food safety practices and helps align with regulatory requirements and industry expectations.
Preparing for an SQF Audit involves thoroughly reviewing the company's procedures and practices to ensure they align with the SQF System. The documentation required by the SQF Program is extensive and encompasses all aspects of the production process, ensuring both food safety and quality are adequately addressed. Companies must be vigilant in maintaining their SQF Systems, as continuous improvement is fundamental to the certification process. The emphasis on comprehensive documentation and adherence to good industry practices demonstrates the company's dedication to achieving and maintaining high standards.
Key Takeaways
SQF Audits validate food safety and quality assurance practices against established international standards.
Successful preparation for an audit requires meticulous documentation and alignment with the applicable SQF Code.
Ongoing commitment to the SQF System is essential for continuous improvement in food safety and quality management.
Understanding SQF Certification
SQF Certification, recognized globally, ensures that a product, process, or service complies with international and domestic food safety regulations. It is a way to demonstrate a company's commitment to quality processes and food safety to regulators and consumers.
History of SQF
The Safe Quality Food (SQF) Program was developed to certify food suppliers at all levels of the global food supply chain. Driven by the rising demand for food safety assurance from the consumers and industry, SQF has evolved through various iterations to integrate sound safety management principles.
SQF Levels
SQF Certification is structured across three levels:
Level 1: Focuses on basic food safety fundamentals.
Level 2: Requires a rigorous risk analysis and an implementation of controls, building on HACCP principles. This level is benchmarked by the Global Food Safety Initiative (GFSI).
Level 3: Represents a comprehensive implementation of safety and quality management systems.
Benefits of SQF Certification
Organizations certified under the SQF Code benefit from:
Enhanced food safety management systems.
Consumer confidence due to GFSI recognition.
Potential market expansion and customer trust.
SQF Codes and Editions
The SQF Code, Edition 9, is the most current standard encompassing all facets of the food industry. It includes food safety and quality codes specific to various industry sectors, offering a systematic process for managing safety and quality control.
Edition 9: Reflects the latest in regulatory and industry requirements.
Codes: Delineate the criteria for different stages of the food supply chain.
By adhering to the requirements of the SQF Code, companies worldwide demonstrate their excellence in food safety and commitment to continuous improvement.
The Audit Process
The SQF Audit process is a rigorous and structured examination of a company's food safety and quality systems. It is conducted by a certified SQF auditor to ensure compliance with the SQF Code and to verify that the systems operate effectively to produce safe and quality food products.
Pre-Assessment Procedures
Before the official audit, companies may engage in pre-assessment procedures to evaluate their readiness. This includes thoroughly reviewing their food safety plan, focusing on critical control points, and ensuring that HACCP (Hazard Analysis Critical Control Point) principles are correctly applied. Companies may choose to have a pre-assessment conducted by an SQF practitioner or a consultant to identify any potential non-compliance areas and better prepare for the actual certification audit.
SQF Audit Checklist
The SQF Audit Checklist is used during the inspection process to ensure no food safety and quality system element has been overlooked. It examines procedures, policies, food safety plans, and corrective actions. It also includes an analysis of documents that support the food safety system. The checklist enables auditors to assess compliance with the SQF Code systematically.
Certification Audit
The Certification Audit is the core component of the SQF Audit process. During this audit, a certification body evaluates the company's implemented systems and procedures against the SQF Code on-site. They scrutinize the systems for managing food safety risks, including employee practices, equipment use, and product handling. The certification audit affirms that food safety and quality measures are deeply integrated into operations.
Post-Audit Actions
Following the audit, post-audit actions are crucial. If non-conformities are discovered, the company must take corrective actions to address these issues. This could range from minor procedural tweaks to significant changes in the system, depending on the severity of each finding. The final audit report specifies the actions needed, and companies will work with the auditor to ensure compliance for the qualification of an SQF certificate.
Preparing for an SQF Audit
Achieving a Safe Quality Food (SQF) certification is a rigorous process that demands careful preparation and adherence to stringent food safety protocols. Organizations should focus on developing comprehensive food safety programs, properly implementing HACCP principles, and maintaining precise documentation and records.
Developing Food Safety Programs
Organizations are required to develop a food safety management system tailored to their operations. These programs must encompass all aspects of food safety relevant to the organization's activities, ensuring that support and resources are available for effective implementation. A robust food safety plan safeguards consumer health and reinforces the organization's commitment to quality and safety.
Monitoring Procedures: Establish systematic monitoring of critical control points.
Continual Improvement: Engage in periodic reviews and updates to food safety programs.
Implementing HACCP Principles
Hazard Analysis Critical Control Points (HACCP) are a core component of an effective food safety management system. It involves identifying where hazards might occur in the food production process and putting stringent actions in place to prevent such hazards.
Identify Hazards: Conduct a thorough hazard analysis to determine potential risks in the food production process.
Define Critical Control Points: Establish critical control points (CCPs) where these hazards can be effectively controlled or prevented.
Documentation and Records
Impeccable documentation and record-keeping practices are critical for a successful SQF audit. Organizations must keep accurate records of their food safety plans, including:
Proof of Monitoring: Document how monitoring of CCPs is conducted regularly.
Verification Records: Maintain records of verification activities confirming the effectiveness of the food safety plan.
Traceability Information: Keep detailed records to ensure the traceability of products through the supply chain.
By meticulously following these guidelines, an organization demonstrates its dedication to maintaining the highest standards of food safety, thereby laying a strong foundation for a successful SQF audit.
SQF Systems and Documentation
An SQF (Safe Quality Food) System relies on meticulous documentation to confirm that food safety and quality measures meet the specific criteria set forth by the SQF Code. These documents are crucial for verifying compliance with food safety standards, and they facilitate consistent operational procedures throughout the company's business activities.
Food Safety and Quality Plans
Documentation Requirements: An SQF System mandates the development of comprehensive Food Safety and Quality Plans. These documents detail the control measures and procedures necessary to meet the organization's food safety and quality objectives. The plans must include:
Specifications for products and materials
HACCP certification for hazard analysis
Steps confirming the correct implementation of the HACCP plan
These documents are blueprints for maintaining stringent food safety standards across the production cycle.
Management Commitment
Ensuring Consistency: Management's role is to underpin the SQF System with a strong commitment to upholding the established procedures and food safety program. This includes:
Establishing food quality and safety policies
Communicating these expectations to all staff members
Providing the necessary training and resources
Records of management reviews and policy revisions must be kept current to demonstrate this ongoing commitment.
Operational SQF Procedures
Implementing the System: Detailed Operational SQF Procedures ensure the SQF System's functionality in everyday operations. These procedures should align with the SQF Code and cover:
Corrective and preventive actions
Handling of non-conforming products
Verification and validation activities
These systematic procedures are critical for maintaining an effective food safety management system and ensuring that all aspects of food quality and safety are managed to the SQF standard.
Sector-Specific Considerations
When embarking on an SQF Audit, it is critical to understand that each sector in the food supply chain faces unique challenges and requirements. The SQF Code provides tailored guidance to address the specific needs and risks of different industry segments.
Manufacturing and Processing
In the realm of food manufacturing and processing, including pet food manufacturing, compliance with the SQF Food Safety Code is essential. Manufacturing entities must diligently manage Critical Control Points (CCPs) to ensure the safety of food products. The code outlines strict protocols for monitoring, verification, and documentation practices that manufacturers must follow.
Storage and Distribution
For the storage and distribution sector, the companies must maintain the integrity of food products during transit and storage. Rigorous procedures must be implemented to protect against contamination and ensure proper handling. The SQF Code delineates the criteria for environment control, stock rotation, and transportation practices that uphold food safety standards.
Packaging and Labeling
In food packaging, attention to detail is key. The correct application of materials and labels is not merely a regulatory requirement but also a matter of public safety. Packaging entities must adhere to guidelines that prevent chemical, biological, and physical contamination. The SQF standards support businesses in implementing robust quality control systems that secure the safety of food packaging and labeling.
Retail and Food Service
Lastly, the retail and food service sectors confront direct consumer interactions, presenting immediate safety concerns. Here, personnel hygiene and food handling procedures are paramount. The SQF Code provides a comprehensive framework for food service providers to develop a proactive food safety program, as indicated in the SQF Food Safety Program for Retail, that addresses unique sector risks and prepares establishments for rigorous assessments.
Global Standards and Regulatory Alignment
The intersection of SQF certification with global standards and regulatory alignment is critical for businesses to ensure widespread acceptance and compliance in the food safety industry.
GFSI Benchmarking
The Safe Quality Food Institute's (SQFI) SQF Program is a globally recognized food safety management system benchmarked by the Global Food Safety Initiative (GFSI). SQF Edition 9, the latest standard iteration, reflects GFSI's comprehensive food safety and quality requirements. This alignment allows for mutual recognition among global standards, enabling suppliers to streamline the certification process and build trust with retailers.
National and International Regulations
SQF Edition 9 integrates national and international regulatory requirements, such as the FDA's Preventive Controls for Human Food Rule, to maintain compliance and facilitate market access. By doing so, SQFI supports manufacturers and producers as they navigate the complexities of food safety regulations. This ensures that SQF-certified organizations can confidently meet local and international regulatory expectations while aligning with retailer-specific standards.
Maintaining and Improving SQF Certification
Maintaining and improving SQF Certification requires an ongoing commitment to food safety practices and standards. There are specific measures facilities must undertake to ensure the integrity of their certification over time.
Continuous Improvement
Organizations must foster a food safety culture that prioritizes continuous improvement. This entails routinely reviewing and enhancing the SQF system, including policies, procedures, and food safety practices. Implementing corrective actions for any non-compliance found during internal audits or inspections is critical. Engaging with stakeholders to align on food safety goals ensures continuous advancement in standards.
Review: Regularly assess the SQF system for potential improvements.
Corrective actions: Swiftly address non-conformities.
Engage stakeholders: Work with all parties for a unified approach to food safety.
Handling Audits and Inspections
An SQF audit is a two-stage process: an initial review of documentation followed by a more thorough on-site evaluation. Preparation involves ensuring all requirements of the SQF Code are thoroughly documented and effectively implemented. A robust plan for internal audits is crucial, as these are integral for identifying areas that need attention prior to an external audit. During audits, companies must demonstrate that their systems are fully operational and effective in managing food safety.
Prepare: Document the SQF system and ensure it is aligned with current requirements.
Internal audits: Conduct periodic reviews to identify areas of improvement before external audits.
External audits: Effectively present the documented policies and their implementation.
Staying Current with SQF Updates
The SQF Code can undergo updates and changes, requiring certified entities to stay informed and adapt accordingly. Keeping up with the latest updates ensures that the facility remains compliant and that its SQF Certification retains its value as a testament to its commitment to food safety. This may involve reviewing new guidelines, attending relevant SQF training, and updating the food safety plan to reflect the latest requirements. Staying informed provides valuable insights into industry best practices and ensures that partners and other stakeholders recognize the facility's dedication to maintaining high standards.
Subscribe to updates: Keep informed about the latest SQF Code changes.
Amend systems: Update internal processes as required to comply with new standards.
Train staff: Ensure everyone is educated on updates to maintain a robust food safety culture.
Resources and Support
In the journey to achieve SQF certification, various resources and structured support mechanisms have been put in place to assist organizations. The Safe Quality Food (SQF) Program provides comprehensive backing through training, an assessment database, and guidance in locating accredited certification bodies.
SQF Assistance and Training
The SQF Program offers many training resources tailored for organizations seeking certification. Prospective companies can find detailed guidance and support materials directly from the SQFI's website. These resources are designed to clarify the requirements for compliance with SQF standards and provide a roadmap from initial steps to certification.
Training courses cover topics for those new to the process, from understanding the SQF Code to implementing and maintaining an effective food safety system. Organizations can contact SQFI directly to access personalized support and get answers to specific queries regarding the certification process.
Using the SQF Assessment Database
The SQF assessment database is a critical tool where companies register to start their certification journey. It's a platform that allows organizations to input and manage their audit results, thus facilitating a transparent and organized approach to achieving and maintaining certification status. Companies are encouraged to use this centralized database to track progress, prepare for audits, and ensure compliance with SQF standards. Using the assessment database is a vital step in organizing and streamlining the audit procedure.
Finding Accredited Certification Bodies
Choosing the right certified body to conduct your SQF audit is paramount. Organizations must seek certification bodies that are accredited and approved by the SQFI and members of the International Accreditation Forum (IAF). The SQFI website lists accredited certification bodies, making it easier for organizations to select a trusted body that aligns with their needs. These certification bodies play a key role, as they are responsible for conducting the audits against SQF standards and issuing certificates.
Conclusion
Achieving SQF Certification is a strategic step for a business, affirming its commitment to food safety and quality. The certification process involves thorough preparation and adherence to the SQF Code, reflecting an organization's dedication to robust food safety management systems. The benefit to a company's reputation upon gaining SQF Certification cannot be understated; it is a clear indicator of reliability and commitment to industry best practices.
Companies should be attentive to the fundamentals of their SQF System, routinely conducting internal audits to ensure ongoing compliance and continual improvement. With in-depth internal audits, businesses preemptively identify areas for improvement and demonstrate a proactive stance on food safety.
Upon completion of an SQF Audit, a business validates its systems and establishes a foundation for trust with consumers, suppliers, and regulatory bodies. Comprehensive audit preparation and execution can:
Elevate a business's market position.
Bolster consumer confidence.
Enhance operational efficiency.
Unveil opportunities for improvement.
Ultimately, SQF Certification is more than just a badge—it reflects a company’s commitment to best practices in food safety and production. It stands as a testament to the quality that the business brings to the market, cementing its place as a trusted entity in the food supply chain.
