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