1. Where is the audit duration guide?

The audit duration guide has been finalized and posted on the SQF website: Audit-Duration.pdf.

2. Does the SQF practitioner have to be registered through the SQF Institute?

The SQF practitioner is responsible for the verification and validation of the supplier’s SQF system. While the SQF Institute no longer requires the SQF practitioner to be registered, there are specific requirements that the SQF auditor must review to ensure the SQF practitioner meets SQF code requirements described in section 8.2.1.

When evaluating the credentials of an SQF practitioner, the auditor should ensure that the practitioner:

• Is a full-time employee of the company. There may be instances in which the practitioner is responsible for more than one site.
• Has completed a HACCP course. This course does not need to be approved by SQF Institute.
• Demonstrates knowledge of the SQF code. The SQF practitioner can meet this requirement by participating in a class about SQF implementation or an online course. Additionally, the auditor can evaluate the practitioner’s knowledge during the audit by asking open-ended questions about the SQF system, code and general requirements.

3. What is the minimal historical period required by SQF Institute? Is there a minimum amount of time that records must be in place prior to the start of the audit?

This depends mainly on the program being reviewed and how often monitoring is completed. Most certification bodies will have some guidance for the auditors to follow, but generally, the requirement is that there must be enough records in place to show that the program has been implemented and is under control. Additionally, the amount of records will depend on how often monitoring is completed. For example, 30 days may be enough for a measurement that is taken every hour, but six months may be needed for verification of product inspection of a key ingredient received weekly.

4. Is a document review required at every audit?

No, a document review is only required at the initial certification audit, when moving from one version of a standard to another (such as from the fifth to the sixth edition of SQF 2000), or when the supplier communicates major program changes from the previous certification audit. Document reviews can be conducted on-site or off-site (by request of the supplier and certification body) and can be done in conjunction with facility audits as long as no major non-conformances from the document review are still open at the facility audit. The document review should cover a review of policies, programs, HACCP plans and SOPs. Records are reviewed as part of the facility audit and should not last more than one day.

5. When can the “exempt” rating be used within SQF audits?

Auditors can use the “exempt” rating in the following three scenarios within SQF audits:

• If an audit element is not applicable (e.g., high-risk audit questions such as 5.5.4 in a low-risk facility).
• When a facility requests that certain audit elements be exempted from their audit. The request must be made in writing to the certification body prior to the audit.
• When a system element is missing, the initial question is to be rated as “major” or “critical” as required, then the remaining questions within that system element are to be “exempt.” For example, if no supplier approval program, auditor to rate 6.10.1 as “major,” then 6.10.2 and 6.10.3 would be “exempt.”

6. What sort of risk assessment is required to justify an exclusion from sections 5 or 6, or an alternative method of control?

Facilities have the option to present a risk assessment to the auditor to justify an area or control that is not specifically adhering to SQF standards for sessions 5 and 6.

The risk assessment must contain:

• A description of the element of the standard as well as the hazards that need to be addressed.
• The control protocol the facility will implement to ensure the identified hazards are controlled.
• Validation that the new protocols are properly implemented and effective.