The Safe Quality Food Audit: What Is an SQF Audit and What Is Assessed?
The Safe Quality Food (SQF) audit process can be intricate, as it evaluates adherence to strict standards of food safety and quality. This article will clarify what an SQF audit assesses, detail the process involved, and provide guidance on how to prepare for a successful audit.
By gaining a clear understanding of the SQF audit process, you can significantly enhance your preparedness and confidence, ensuring your business meets these rigorous standards and reaps the benefits of SQF certification.
What Is an SQF Audit?
SQF audits rigorously evaluate a company's compliance with the SQF Code, a recognized set of food safety and quality standards overseen by the SQF Institute. Successful completion leads to SQF certification, demonstrating adherence to global food safety benchmarks approved by the Global Food Safety Initiative (GFSI), which aims to harmonize food safety practices worldwide.
Learn more about what SQF Certification is and how it can benefit you: What Is Safe Quality Food (SQF) Certification in the Food Industry?
The SQF Code: The Basis of SQF Audits
The SQF family of Food Safety Codes (FSC) includes numerous distinct codes tailored to different types of food industry businesses. Broadly, these apply to:
Primary production (plant and animal)
Food manufacturing
Food packaging manufacturing
Storage and distribution
Food retail
Food service
While each FSC is tailored to a unique sector of the food industry, all FSCs share similar requirements based on the SQF FSC Edition 9. To review the specific requirements for your sector, you can find the most applicable code with the SQFI Code Selector tool.
There are also two other SQF codes:
SQF Food Safety Fundamentals - outlines basic requirements for maintaining a hygienic production environment. This is an entry-level, less stringent guide than the certified versions described above.
SQF Quality Codes - incorporates food quality into the same requirements laid out in the Food Safety level. These are not GFSI-approved programs.
Key Areas Assessed in an SQF Audit
An SQF audit meticulously examines a company's food safety and quality management systems, focusing on several crucial areas:
Management Commitment: Assess the level of management support and involvement in upholding food safety and quality standards.
Document Control and Records: Verify the accuracy, completeness, and accessibility of critical documents and records related to food safety and quality.
Specifications, Formulations, Realization, and Supplier Approval: Evaluate the processes for developing product specifications, converting formulations to commercial products, and ensuring that suppliers meet the required food safety standards.
HACCP: Scrutinize the Hazard Analysis and Critical Control Point (HACCP) plan, ensuring its accuracy, implementation, and verification procedures.
SQF System Verification: Assess the adequacy and effectiveness of verification activities, including internal audits, validation processes, and corrective and preventive actions (CAPA).
Product Traceability and Crisis Management: Evaluate the effectiveness of product traceability systems and review crisis management and recall procedures.
Food Defense and Food Fraud: Examine measures to protect against intentional contamination and to prevent and detect food fraud.
Allergen Management: Assess allergen management practices to prevent cross-contact and ensure accurate labeling.
Training: Evaluate the adequacy of training programs for personnel involved in food safety and quality management.
Good Manufacturing Practices (GMPs):
Site Location and Premises: Evaluate the suitability and maintenance of the site and facilities.
Site Operation: Assess operational practices that impact food safety.
Personnel Hygiene and Welfare: Ensure that personnel follow hygiene practices and that facilities are provided for their welfare.
Personnel Processing Practices: Review the practices of personnel involved in food processing.
Water, Ice, and Air Supply: Assess the supply and safety of utilities used in food processing.
Receipt, Storage, and Transport: Evaluate how raw materials and finished products are handled.
Separation of Functions: Ensure that different functions within the site are adequately segregated to prevent cross-contamination.
Waste Disposal: Review the methods used for waste disposal to ensure they do not compromise food safety.
The SQF Audit Process
The SQF audit process is a structured sequence designed to evaluate compliance with the relevant requirements. The process involves several key steps:
1. Pre-Auditing Steps
Application: The initial step involves submitting an application for certification, which must be registered in the SQF database (Repositrak). The site selects the appropriate SQF Code for its operations.
Application Review and Certification Agreement: The application is reviewed, and a certification agreement is established. This includes considering factors such as the scope of the audit, site size, product complexity, and other operational specifics.
Pre-assessment: Optional pre-assessments can be conducted to identify areas needing improvement before the formal audit.
2. Initial Audit
Auditor Selection: An SQF food safety auditor, selected based on SQF competency requirements, conducts the audit. The same auditor cannot audit the same client more than three consecutive times.
Audit Scheduling: The audit is scheduled at a mutually agreed time when the main processes are operational.
Remote Audit: Part of the audit may be conducted remotely using information and communication technology (ICT), but at least half of the audit must be onsite. Remote activities require agreement between the site and auditing body and depend on the site’s ICT capabilities.
Site Review: The audit must review the entire site, both inside and outside, regardless of the certification scope and exemptions. The audit includes a review of all operational and cleaning shifts, and pre-operational inspections where applicable. It evaluates the effectiveness of the SQF System, the identification and control of food safety hazards, and the commitment of the site to maintaining food safety standards.
3. Nonconformities and Corrective Action
Nonconformities: There are three levels of nonconformities—minor, major, and critical. Each type requires specific corrective actions and must be addressed within a set timeframe.
Minor: Evidence of random or infrequent failure, which must be corrected within 30 days.
Major: A systemic breakdown or significant deviation, requiring correction within 30 days, with possible extensions under certain conditions.
Critical: A significant public health risk or systemic falsification of records, requiring immediate notification and action.
Corrective Action: The site must take corrective action to address all nonconformities.
4. Review and Approval
Corrective Action: Confirms that the corrective actions taken to address nonconformities are adequate, effective, and properly documented. A common issue is that the corrective actions submitted are not substantial enough to reach certification; it is important to submit strong corrective actions with supporting evidence.
5. Technical Review
Technical Review: Audit findings and any corrective actions are reviewed by SQF personnel to ensure compliance.
6. Certification Decision
Certification Decision: A certification is granted for a passing score, along with the final audit score.
Frequently Asked Questions
How Does Audit Scoring Work?
Based on the audit findings, the site is scored and classified as Excellent (E), Good (G), Complies (C), or Fails to Comply (F). The score determines the frequency of subsequent audits. Scoring is calculated by deducting from 100:
1 point per minor non-compliance
5 points per major non-compliance
50 points per critical non-compliance
How Are Certifications Issued?
Within ten calendar days of granting certification, your auditing body will provide the site with an electronic copy of the site’s certificate. At this point, you can share or display your certification with partners and customers. The certificate is valid for seventy-five days beyond the anniversary of the initial certification audit date. If you pass an audit against the SQF Quality Code, an electronic copy of the relevant SQF quality shield is also provided.
What Are Surveillance and Re-certification Audits?
Surveillance Audits: Conducted for sites that receive a 'C' rating, typically six months after the initial certification audit. These audits verify the continued efficacy of the SQF System and the implementation of corrective actions.
Re-certification Audits: Conducted annually for sites rated 'E' or 'G'. These audits follow the same requirements as the initial certification audit and verify the ongoing effectiveness of the food safety management system.
How Long Does the SQF Audit Process Take?
The duration of an SQF audit varies based on several factors, including:
Size and Complexity of the Site: Larger and more complex sites require longer audit durations.
Scope of the Audit: The breadth of operations and processes covered in the audit.
Product Lines: The number and complexity of product lines being audited.
Risk Level: Whether the products are considered high or low risk.
Level of Mechanization and Labor Intensity: The degree of automation and manual labor involved in operations.
Site Preparedness: How ready the site is for the audit, including previous certifications.
Communication: The effectiveness of communication with site personnel, considering different languages spoken.
Cooperation: The level of cooperation from the site’s personnel during the audit process.
This flexibility ensures that the audit process is thorough yet efficient and tailored to the specific needs of each site. Working with an experienced certifying body like QIMA/WQS can help you streamline the certification process. QIMA/WQS may reduce the expected duration by up to 30% with proper justification.
SQF Audits with QIMA/WQS
With over 30 years of experience in the food industry, QIMA/WQS offers SQF audits and certification for all members of the food supply chain. Partnering with us simplifies the path to SQF certification, helping to elevate your food safety protocols and affirming your commitment to excellence in food quality and safety from farm to fork. Our SQF certification process is designed to facilitate and expedite the complex certification process and support you every step of the way.
Contact us to learn more about SQF certification or book an audit today.
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