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SQF Certification Body Meeting

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  1. SQF Certification Body Meeting Roger Roeth Appointed CB Meeting Chair Tuesday, November 5, 2013 Globally Trusted Food Safety and Quality Certification

  2. Welcome and Introductions

  3. SQF Anti-Trust Statement FMI ANTITRUST STATEMENT FMI believes strongly in competition. Our antitrust laws are the rules under which our competitive system operates. It is FMI’s policy to comply in all respects with the antitrust laws. Association meetings or workshops by their very nature bring competitors together. It is expected that all member representatives involved in FMI activities, as well as FMI consultants and other participants, will be sensitive to the legal issues and act in compliance with applicable antitrust and competition laws both at FMI meetings and FMI-sponsored events. Accordingly, it is necessary to avoid discussions of sensitive topics that can create antitrust concerns. Agreements to fix prices, allocate markets, engage in product boycotts and to refuse to deal with third parties are illegal under the antitrust laws. At any association meeting discussions of prices (including elements of prices such as allowances and credit terms), quality ratings of suppliers, and discussions that may cause a competitor to cease purchasing from a particular supplier, or selling to a particular customer, should be avoided. Also, there should be no discussion that might be interpreted as a dividing up of territories. An antitrust violation does not require proof of a formal agreement. A discussion of a sensitive topic, such as price, followed by action by those involved or present at the discussion is enough to show a price fixing conspiracy. As a result, those attending an association-sponsored meeting should remember the importance of avoiding not only unlawful activities, but even the appearance of unlawful activity. As a practical matter violations of these rules can have serious consequences for a company and its employees. Antitrust investigations and litigation are lengthy, complex and disruptive. The Sherman Act is a criminal statute, and may even result in penalties punishable by steep fines and imprisonment. The Justice Department, state attorneys general and any person or company injured by a violation of the antitrust laws may bring an action for three times the amount of the damages, plus attorney’s fees. If you have any questions or concerns at this meeting, please bring them to the attention of FMI staff.

  4. SQF Staff • Robert Garfield – Senior Vice President • John Schulz – Senior Director of Business Operations • LeAnn Chuboff – Senior Technical Director • Kristie Grzywinski – Technical Manager • Melody Ge – Compliance Specialist • Michael Farrell – Electronic Systems Specialist • Henok Alemayo – Administrator • Dylan Calmes – Administrator • Bill McBride – Australia & Asia Pacific Regional Representative • Luis Alberto Cruz – Mexico Regional Representative • Karina Rego – Australian Customer Service Representative

  5. SQFI Business DevelopmentNovember, 2013

  6. Discussion Points • Overview of SQFI Business Plan – J. Schulz • Update on SQF Data Management System – M. Farrell • Information Days – LeAnn Chuboff

  7. SQF Business Team Staffing Update Robert Garfield Senior Vice President John F. Schulz Senior Director, Business Operations Mike Farrell Specialist, SQFI Electronic Data Systems Open Position Manager, Marketing & Sales Henok Alemayo Administrator SQFI Customer Service Karina Rego Administrator SQFI Customer Service (AU) Dylan Calmes Administrator SQFI Customer Service

  8. SQF Technical Team Robert Garfield Senior Vice President LeAnn B. Chuboff Senior Technical Director Bill McBride Technical Consultant (AU) Melody Ge Technical Specialist Kristie Grzywinski Technical Manager

  9. SQFI Business Plan 2013 • Our focus this year is to continue to stabilize the SQFI business platform and to grow the business. • Significant focus on the SQF Audit Management System √ • Expanding Marketing through the use of Information Days √ • Increasing Skill Set of Customer Service Team √ • 2012 Marketing included a more global focus, Canada, Mexico, Japan, China, Brazil √ • Significant investment in Translations of Course materials and Code √ • Development of the Alchemy Online Training Program into Spanish √ • Development of the Ethical Sourcing Code √ • Partnership with AFIA for Feed and Pet Food Modules √

  10. New Site Registrations A total of 1,667 New Site Registrations

  11. New Registrations vs. Re-registrations July 2, 2012 - October 15, 2013

  12. Total Certificates Issued by FSC 4913 Certificates • Production, Capture and Harvesting of Livestock and Game Animals • Growing and Harvesting of Animal Feeds • Growing and Production of Fresh Produce • Fresh Produce Packhouse Operations • Extensive Broad Acre Agriculture Operations • Harvest and Intensive Farming of Fish • Slaughterhouse, Boning, and Butchery Operations • Processing of Manufactured Meats and Poultry • Seafood Processing • Dairy Food Processing • Honey Processing • Egg Processing • Bakery and Snack Food Processing • Fruit and Vegetable Processing • Canning, Pasteurizing, UHT and Aseptic Operations • Ice, Drink, Beverage Processing • Confectionary Manufacturing • Preserved Food Manufacturing • Food Ingredient Manufacture • Recipe Meals Manufacture • Oils, Fats, and the Manufacture of oil or fat-based spreads • Processing of Cereal Grains and Nuts • Food Catering and Food Service Operations • Food retailing • Fresh Produce Wholesaling and Distribution • Food Wholesaling and Distribution • Manufacture of Food Sector Packaging Materials • Provision of Crop Spray Services • Provision of Field Harvest Services • Provision of Sanitation and Hygiene Services • Manufacture of Dietary Supplements • Fertilizer Manufacture • Manufacture of Agricultural Chemicals and Food Processing Aides • Manufacture of Animal Feeds • Broker or Agent

  13. Registrations by Country(July 2012-October 2013)

  14. 2013 SQF Information Day April Chicago, IL - April 18th June Sacramento, CA - June 3rd Dallas, TX - June 5th Philadelphia, PA - June 7th July Vancouver, Canada - July 9th Montreal, Canada - July 11th August Mexico City, Mexico - August 13th Guadalajara, Mexico - August 15th September Sydney, AU – September 10th Melbourne, AU – September 12th Seoul, South Korea – September 16th -- Cancelled Tokyo, Japan – September 18th

  15. 2013 SQF Information Day • 11 Days • 5 Countries • 37,000 Miles • 500 Attendees

  16. 2014 SQF Information Day Will there be another tour in 2014?

  17. Training Update • Professional Updates • Learning Lunches • Lead Auditor Training • Implementing SQF Systems • Online Course • Exams • Advanced Practitioner • Credential • Course

  18. 2014 Professional Updates • January 29 – 7-11pm (eastern US) • April 2 – 11-2pm (eastern US) • July 16 – 7-11pm (eastern US) • November – SQF Conference • December 3 – 11-2pm (eastern US)

  19. SQF Learning Lunches Previous Webinars (available on the SQFI website): “Implementing an SQF System to Meet the FDA FSMA Proposed Preventive Control Rules” Guest speaker: Dr. David Acheson, Leavitt and Partners “5 tips for Conducing a Successful Internal Audit” Guest speaker: Gary Smith, Technical Director, SAI Global Upcoming Webinar: “Implementing an SQF System to Meet the FDA FSMA Proposed Produce Safety Standards” Guest speaker: Dr. David Acheson, Leavitt and Partners • One hour webinar • Learn the latest food safety information • Open to all SQF stakeholders • Sessions are free • Register at sqfi.com

  20. 2014 SQF Auditor Training • Lead Auditor (Chicagoland area) • March 3-7 • August 25-29 • December 8-12 • Auditing SQF Systems (Chicagoland area) • March 5-7 • August 27-29 • December 10-12

  21. Implementing SQF Systems Online • Course: • Available in English and Spanish • Updated to SQF Code, 7.1 • English, Spanish to come • Workbook tool • Exam: • Available in English and Spanish • English updated to 7.1

  22. Implementing Online Course - English

  23. Implementing Online Course - Spanish

  24. SQF Advanced Practitioner • Goal is to develop a one-day course to provided advanced implementation tools to advance food safety in the operation • Small committee with a variety of SQF stakeholders, including training centers, is developing the material • The course will be piloted at the SQFI International Conference in November • Materials to be finalized in Q1- 2014 • Trainers must go through a train-the-trainer (to be held in Q2-2014)

  25. Course Content Activity based sessions covering three topics: 1. Using the internal audit program to manage, maintain and enhance the SQF system • Best practice on how to conduct internal audit • Taking the results and assigning risk and criticalities –observations and gaps that require immediate action 2. Utilizing the corrective action/preventive action process  as a tool to identify trends and building continuous improvement • Best practices for developing corrective action and preventative action processes for collaboration and effective implementation. • Tips and tools for measuring and develop trend analysis 3. Communicating with senior management to improve demonstration of management’s commitment and to prioritize and develop key performance indicators. • Improving operational efficiencies and quality and creating KPIs • Taking the trend analysis and creating action and opportunities for improvement • How to build a food safety program that includes an ROI.

  26. Technical Session • Compliance and Integrity • GFSI Submitted Scopes • Technical Documents • Changes to 7.2 • FAQs

  27. Compliance Program • Recalls 2013 • Suspension summary • Withdraw case summary • Complaint • Supplier survey • Audit report

  28. Recalls 2013 • Cyclospora • Salad mix products • 278 illness in TX • 153 illness in IA • Initiated in Mexico • Salmonella spp. • Chicken products (USA) • 41 illness in 20 states • Ham products (UK) • 22 illness • Listeria monocytogenes • Cheese products • 2 illness • Initiated in USA • E. coli O157:H7 • Watercress products • 4 illness • Initiated in UK • Vibrio parahemolyticus • Raw oyster • 50 illness • Initiated in USA • Hepatitis A • Frozen organic fruit products • 119 illness • Initiated in USA

  29. Recalls 2013 • 1553 total recalls from public notification • 90 recalls from SQF certified suppliers (as of October 15th) • 5.8% out of total recalls • Classified • Biological • Chemical • Physical • Other • Incorrect label (other than allergens) • Flavor missing Data obtained October 15, 2013

  30. SQF Certified Suppliers Recalls • SQF Code part A, 5.3 • Supplier shall inform SQFI within 24 hours when there is a food safety event requires public notification • CB shall notify with follow up actions taken within 48 hours to SQFI • Initial source : Food Track Food Safety Incidents email alert • 1.4% from suppliers in 2012 • 28% from suppliers in 2013

  31. SQF Certified Suppliers Recalls • A major non-conformance will be raised at the next re-certification audit for unreported recalls • CB is copied on email notification • Started September, 2013

  32. SQF Certified Suppliers Recalls • Initial source • 28% from supplier- within 24 hours of issuing recall • 72% from public notifications (FDA/USDA email alert, CFIA alert etc.) • 50% of recalls came from the supplier within 24 hours after a public notification • 44% of recalls followed up by CB • 6.7% of recalls came from the CB • 4.4% of recalls were caused by other sources

  33. Recalls from SQF Certified Facilities • 82 recalls from SQF certified suppliers during Q1-Q3,2013 • 71% in USA • 44 recalls in Q4,2012 • 86% in USA Data obtained through September 30, 2013

  34. Reasons for Recalls • Biological hazards • Salmonella spp., Listeria monocytogenes • Hepatitis A (frozen fruit) • Vibrio parahemolyticus (oysters) • Others (risks of mold) • Chemical hazards • Allergen/GMO undeclared • Others (chemical residue) • Physical hazards • Foreign materials contamination • 4.4% of recalls were caused by other sources Data obtained through September 30, 2013

  35. 2013 Recalls by FSC • 18 FSCs out of 35 were involved • 20% of the recalls fall under FSC 13 • Allergen undeclared • Foreign materials contamination • 20% of the recalls fall under FSC 8 • E. coli O157:H7 contamination Data obtained through September 30, 2013

  36. Recalls 2014 • Continue to track and document • FDA, USDA, Food Track, Foodsafety.gov etc. • Exploring more sources for receiving notifications • Suppliers and CBs: • Contact SQFI within 24 hours • foodsafetycrisis@sqfi.com • Follow up actions taken by CB within 48 hours • Purpose • Track the type and nature of the recalls to be prepared to address the media and SQF Stakeholders • Identify areas that should be strengthened or added in the SQF Code

  37. 2013 Suspended Sites Summary • 51 sites suspended in 2013 Q1 – Q3 • 19 in 2012 Q4 • 56.9% of suspended sites located in Australia • 3.9% sites withdrawn after suspension • 45.1% certificates re-instated after suspension Data through September 30, 2013

  38. Suspension Criteria • Maintain the integrity of SQF certificate • Reason for suspension (Code, Part A, 4.5) • Failed in a re-certification facility audit • Received a critical during a surveillance audit • Failed to submit the corrective actions within the required time frame • Others determined by CB Data through September 30, 2013

  39. Certificate Withdrawal Summary • Maintain the integrity of SQF certificate • Code Part A, 4.6 • 49 certificates withdrawn • 2013 Q1-Q3 • 51% in Australia • Failed to implement corrective actions after suspensions • Supplier cancelled the SQF program • Business is closed Data through September 30, 2013

  40. Complaints and Feedback • Identify areas that should be strengthened or added in the SQF Code • SQF complaint log • Established end of 2012 • Link on SQFI website (sqfi.com) • 18 complaints were received in 2013 Q1-Q3

  41. Complaint Summary • 18 complaints were received in 2013 Q1-Q3 • Complaints • Auditors, e.g. cancel the audit in the last minute without notification right before the audit • CB, e.g. delay of audit report/certificate • SQF program, e.g. complicated audit procedure • Supplier, e.g. integrity of the SQF program at the facility is not maintained Data obtained through September 30, 2013

  42. Supplier Survey 2013 • Survey issued via Survey Monkey • Link is available on SQFI website (sqfi.com/suppliers) • Emails sent to certified suppliers • Quarterly report sent to each CB • Continue to monitor • Started in 2011 • Purpose • Better oversight of auditor performance • Identify areas that should be strengthened or added in the SQF Code/SQF training

  43. Supplier Survey 2013 • 525 responses in 2013 Q1-Q3 • Approximately 300 certified suppliers per month • 80% Licensed Certification Bodies (CB) involved • Audit time management • Consulting • Consulting is prohibited during an SQF audit • 86% not consulting • Auditing performance • Professional knowledge • Interviewing the staff • Language • Gestures

  44. Supplier Survey 2013 • Consistent performance /qualified auditors • AIB • NSFI • Silliker • Audit duration vs. time management • 2% of response show suppliers felt rushed during the audit • 4% of response show suppliers felt too much waste time • 68% of responses show auditor spend more than 60% time auditing facility • 50% actually spend 80% auditing the facility • Overall performance • 90% of response show auditors received rating >8 out of 10 • Average rating: 9.0

  45. Distribution of Certified Supplier Survey 2013-Q3 • Australia • 71% spend 80% of their time auditing facility • Canada • 67% spend 80% of their time auditing facility • Japan • 100% spend 80% of their time auditing facility • Mexico • 67% spend 80% of their time auditing facility • USA • 50% spend 80% of their time auditing facility Data obtained through September 30, 2013

  46. Supplier Survey 2013-Q3 • Certification facility audit • 61% spend 80% of their time auditing facility • 76% spend more than 60% of their time auditing facility • Re-certification facility audit • 45% spend 80% of their time auditing facility • 66% spend more than 60% of their time auditing facility • Surveillance audit • 67% spend 80% of their time auditing facility Data obtained through September 30, 2013

  47. Survey Comments Strengths Auditors are biased Auditing against guidance or other standard Audit duration unbalanced Time management Delay of issuing draft audit report Challenges • Excellent knowledge • Good understanding of industry knowledge to bring a realistic application of the SQF Code • Overall professionalism • NCs addressed properly • Good interviewing skills

  48. Audit Report Review • Sampling reports review • When supplier is involved in a recall • Quarterly review • Focus on non-conformances • Purpose • Overview of facility information • Identify areas that could be strengthened or added in the SQF Code/SQF training