Criteria For SQF Food Safety Auditors, Quality Auditors .

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Criteria for SQF FoodSafety Auditors, QualityAuditors and TechnicalReviewersCompetency and Registration9th EditionOctober 2017 2016 Safe Quality Food Institute2345 Crystal Drive, Suite 800Arlington, VA 22202 USA202-220-0635www.sqfi.comSQF Institute is a division of the Food Marketing Institute (FMI).

Criteria for SQF Food Safety Auditors, QualityAuditors and Technical ReviewersFirst Published May 1995Edition 9 – October, 2017INTRODUCTIONThe SQF Code is a process and product certification standard. It is a third party accreditedfood safety and quality management standard built on the HACCP principles and guidelinesdefined by the CODEX Alimentarius Commission, and is intended to support industry orcompany branded product and to offer benefits to sites and their customers. Productsproduced and manufactured under the SQF Code certification retain a high degree ofacceptance in global markets.First developed in Australia in 1994, the SQF program has been owned and managed by theFood Marketing Institute (FMI) since 2003, and was recognized in 2004 by the Global FoodSafety Initiative (GFSI) as a standard that meets its benchmark requirements.This document describes the qualifications, registration and reregistration requirements forauditors auditing the SQF Food Safety Codes and SQF Quality Code, edition 8, orsubsequent versions, and is applicable for all SQF auditors applying for registration andreregistration beginning November 1st 2017.This document also describes the qualifications, registration and reregistration requirementsfor technical reviewers employed, or contracted by a licensed SQF certification body with theresponsibility of reviewing the SQF audit reports. As of January 2, 2018, all SQF certificationbodies are to use only registered technical reviewers. A one year transition period has beengranted to existing technical reviewers allowing until January 2, 2019 to be registered.This latest edition of the “Criteria for SQF Auditors” has been reviewed and updated to alignwith the Global Food Safety Initiative (GFSI) requirements document v7 or subsequentversions.SQF auditor registration is conducted by SQFI. It is designed to enhance the integrity of theSQF Program by providing the food industry with a register of auditors who have theappropriate competencies to audit SQF food safety and quality systems. 2017 Food Marketing Institute. All rights reserved.No portion of this document may be reproduced or used in any manner whatsoever without the express written permission of theFood Marketing Institute.DisclaimerWhile every effort is made to ensure that the process for evaluating applicants for registration is effective, FMI does not acceptliability for services provided by registered SQF Auditors that fail to meet the requirements of all clients of the services. 2017 Food Marketing Institute. All Rights ReservedI

Criteria for SQF Food Safety Auditors, QualityAuditors and Technical ReviewersFirst Published May 1995Edition 9 – October, 2017TABLE OF CONTENTS11.11.21.31.41.51.6GENERAL REQUIREMENTS FOR ALL CATEGORIES . 3REGISTRATION CATEGORY . 3DEFINITIONS . 3SPONSORS . 4PERSONAL DECLARATION. 4APPEALS . 4COMPLAINTS AGAINST REGISTERED SQF AUDITORS/TECHNICAL REVIEWERS . 42 REQUIREMENTS FOR SQF FOOD SAFETY AUDITOR REGISTRATION AND REREGISTRATION . ERVIEW . 5REQUIREMENTS FOR REGISTRATION AS SQF FOOD SAFETY AUDITORS . 5SQF FOOD SAFETY AUDITOR APPLICATION PROCESS . 8ADVANCEMENT TO ANOTHER CATEGORY . 9REQUIREMENTS FOR ANNUAL FOOD SAFETY AUDITOR RE-REGISTRATION . 9REQUIREMENTS FOR SQF QUALITY AUDITOR . 11OVERVIEW. 11REQUIREMENTS FOR REGISTRATION AS AUDITOR PE-REQUISITE . 11SQF QUALITY AUDITOR APPLICATION PROCESS . 12ADVANCEMENT TO ANOTHER CATEGORY . 13REQUIREMENTS FOR ANNUAL QUALITY AUDITOR RE-REGISTRATION . 13REQUIREMENTS FOR SQF TECHNICAL REVIEWER . 15OVERVIEW. 15REQUIREMENTS FOR REGISTRATION AS SQF TECHNICAL REVIEWER . 15SQF TECHNICAL REVIEWER APPLICATION PROCESS . 17ADVANCEMENT TO ANOTHER CATEGORY . 18REQUIREMENTS FOR ANNUAL TECHNICAL REVIEWER RE-REGISTRATION . 18ATTACHMENT 1 KEY COMPETENCIES FOR SQF FOOD SAFETY AUDITORS . 19ATTACHMENT 2 KEY ADDITIONAL COMPETENCIES FOR SQF QUALITY AUDITORS . 20ATTACHMENT 3 SQF PROFESSIONAL CODE OF CONDUCT . 21 2017 Food Marketing Institute. All Rights Reserved.2

Criteria for SQF Food Safety Auditors, QualityAuditors and Technical ReviewersFirst Published May 199511.1Edition 9 – October, 2017GENERAL REQUIREMENTS FOR ALL CATEGORIESRegistration CategoryThe criteria described in this document are for the purpose of SQF classificationand registration as an SQF food safety auditor, SQF quality auditor, or SQFtechnical reviewer.Food Sector Categories (FSCs) are defined in the current version of the SQF FoodSafety Codes and the SQF Quality Code.1.2DefinitionsFor the purposes of this document, the relevant definitions given in Appendix 2:Glossary in the SQF Food Safety Codes and the SQF Quality Code, together withthe following definitions apply:ApplicantFood SafetyAuditorHACCP TrainingQuality AuditorTechnical ReviewerAn individual applying to become a registered SQF foodsafety auditor, SQF technical reviewer, or SQF qualityauditorAn individual who is registered by SQFI as an SQF foodsafety auditor according to the requirements contained inthese criteria for SQF food safety auditorsTraining that meets the guidelines outlined in the Foodand Agriculture Organization’s CODEX AlimentariusCommission. Hazard Analysis and Critical Control Point(HACCP) System and Guidelines for its Application –Annex to CAC/RCP 1 – 1969, Rev. 4-2003), – “A system,which identifies, evaluates and controls hazards which aresignificant for food safety.” This training shall:1. Recognize a HACCP training course used extensively ina country.2. Be administered and delivered by an institutionrecognized as a food safety training center of excellence.3. Extend a minimum of two days (16 hours) in duration,or equivalent.4. Assess the acquired knowledge of the candidate aspart of the training program.An individual who is registered by SQFI as an SQF qualityauditor according to the requirements contained in thesecriteria for SQF quality auditorsAn individual who is employed by an SQF licensedcertification body and whose duties include the technicalreview of SQF audit reports. SQF technical reviewersshall be registered by SQFI as an SQF technical revieweraccording to the requirements contained in these criteria. 2017 Food Marketing Institute. All Rights Reserved.3

Criteria for SQF Food Safety Auditors, QualityAuditors and Technical ReviewersFirst Published May 1995Edition 9 – October, 20171.3 SponsorsEach applicant for initial registration as an SQF food safety auditor, quality auditoror technical reviewer shall be sponsored by a certification body and one otherperson in the food industry with whom they have a business relationship.Sponsors must have evidence and / or personal knowledge of the relevantinformation contained within the application that they have verified.1.4Personal DeclarationEach applicant for registration is required to attest they will comply with the SQFIProfessional Code of Conduct (refer attachment 3) and that any complaintsregarding their performance will be dealt with in a manner to prevent recurrence.1.5 AppealsWritten appeals against the outcome of an application for registration or reregistration will be referred to the SQFI Compliance Manager or designee.Decisions made by SQFI relating to any appeal are final.1.6 Complaints Against Registered SQF Auditors/Technical ReviewersComplaints regarding the conduct of a currently registered SQF food safetyauditor, quality auditor or technical reviewer will be acknowledged andinvestigated by SQFI. Substantiated evidence of misconduct may result inwithdrawal of registration. 2017 Food Marketing Institute. All Rights Reserved.4

Criteria for SQF Food Safety Auditors, QualityAuditors and Technical ReviewersFirst Published May 1995Edition 9 – October, 20172. REQUIREMENTS FOR SQF FOOD SAFETY AUDITOR REGISTRATION AND REREGISTRATION2.1OverviewAll applicants: Applicants shall successfully complete the “SQF Auditing SQF Systems” trainingcourse (4 days). Alternatively, applicants may meet this requirement if they attendeda registered “Management System Lead Auditor” training course of forty (40) hoursduration (e.g., Exemplar Global, IRCA), and the “Auditing SQF Systems” course orattended the five (5) day “Lead SQF Auditor” training course if attended afterJanuary, 2012; Shall attend a HACCP training course that meets the definition described above (refer1.2). Shall have successfully completed the SQF Auditor online examination. Shall have completed at least one hundred-sixty (160 hours of food safety auditingin the food industry (twenty (20) audit days). For each food sector category that is requested for registration, the applicant shalldemonstrate a minimum of two (2) years work experience in food safety and/orquality management within the requested FSC, or one hundred-sixty (160) audithours within the requested FSC, or a combination of work experience and auditexperience for each FSC requested. Shall be employed by one designated SQF licensed Certification Body (if contracted,then the applicant must be sponsored by at least one SQF licensed certificationbody). Shall attest to the SQFI Professional Code of Conduct (refer attachment 3).2.2 Requirements for Registration as SQF Food Safety AuditorsThe following educational, training, food industry work and food safety auditingexperience requirements apply to all applicants unless otherwise specified.2.2.1 Education2.2.1.1 The applicant shall have attained a university degree in adiscipline related to the food sector category(ies) (FSCs) being applied for(e.g. food science, food technology, dairy technology) or equivalent asoutlined in GFSI Requirements Document, version 7, or subsequentversions, Part II, Annex 3.2.2.1.2 Appropriate qualification is required for the following food sectorcategories:i. An approved scheduled processing course is required to gain FSC 15(canning process) qualification.ii. A degree or higher certificate in packaging technology and a relevantcertificate recognized by the SQF in food technology, food hygiene orrelated science subject OR a primary qualification in food technology,food safety/ hygiene or related science subject and a certificate in 2017 Food Marketing Institute. All Rights Reserved.5

Criteria for SQF Food Safety Auditors, QualityAuditors and Technical ReviewersFirst Published May 1995Edition 9 – October, 2017packaging technology that is recognized by SQF is required to gain FSC27 (packaging) qualification.2.2.1.3 SQF may add additional requirements as needed to demonstratecompetence in a particular food sector category.2.2.2 TrainingFood safety applicants shall have successfully completed the following trainingcourses:2.2.2.1 Successful completion of the SQF Auditing SQF Systems (4 dayduration) courseNote: The Auditing SQF Systems training course completed after January1, 2012 and a registered management system lead auditor training courseof forty (40) hours duration (i.e. SQF Lead Auditor, Exemplar Global,IRCA) would meet the requirements after 2.2.2.12.2.2.3 HACCP training (defined in 1.2)2.2.2.4 Successful completion of the SQF Auditor examinationadministered by SQFI and available through the SQFI web site(www.sqfi.com).2.2.3 Food Industry Work ExperienceApplicants shall have at least five (5) years’ work experience in a food-relatedtechnical, professional or supervisory position involving food safety accountabilityand the exercise of judgment.2.2.3.1 All applicants are required to demonstrate operational experiencewith food hygiene and food safety based programs involving HACCP orother appropriate risk management systems. Alternatively, demonstratedexperience involving equivalent practices, such as consulting or regulatoryexperience, that are deemed to provide experience relevant to the systembeing developed and the competencies described in this document for SQFauditors may be considered.2.2.3.2 All applicants must submit an industry work experience log thatmeets the following criteria:i.Date of work historyii.Name and location of company where experience was gainediii.Positioniv.Designated food sector categoryv.Detailed description of the position to justify knowledge in foodsafety and the relevant food sector categoryvi.Contact information for verification purposes 2017 Food Marketing Institute. All Rights Reserved.6

Criteria for SQF Food Safety Auditors, QualityAuditors and Technical ReviewersFirst Published May 1995Edition 9 – October, 20172.2.4 Food Safety Auditing ExperienceAll applicants must complete, at a minimum, one hundred-sixty (160) hours offood safety audits. To demonstrate auditing experience, all auditor applicantsshall submit an audit log as a record of their food safety audit experience.Product cuttings, pest control assessments, training and sample retrieval areexamples of activities that should not be included on an audit log. The audit logshall contain the audit experience of the applicant and meet the following criteria:i.All referenced audits shall be third party or second party audits, orfirst party audits conducted by an independent auditor from acorporate head office.ii.Internal audits of a facility as an employee of that facility will not beconsidered and should not be included on the audit log.iii.Shadow or witness audits where the auditor takes no responsibilityin the audit process or the audit outcome will not be considered andshould not be included on the audit log.iv.Qualifying audits that are included on the audit log must reference arecognized standard, checklist or audit tool. Examples of acceptableaudit standards include HACCP audits, GFSI recognized certificationprogram audits, GMP or GAP audits. Audit checklists used by theapplicant may be requested by SQFI in order to determine thescope of the audit.v.Only audits that have been acquired up to ten (10) years prior toapplication will be accepted as audit experience.vi.Each audit referenced shall include the date of the audit, auditduration, company audited, one food sector category reference,relevant contact information and certification body (if applicable).Audit experience shall be with management systems within the SQFfood sector category that have used HACCP, ISO/FSSC 22000, PreRequisite Programs, GMP, GAP, principles or a combination of thesesystems.2.2.5 Food Sector Category Designation2.2.5.1 Applicants are to determine the food sector categories thatsupport their education, training, work experience and audit history. Foreach food sector category that is applied for, the applicant mustdemonstrate:i.A minimum of two (2) year work experience, which may includeconsulting activities, in food safety management within the foodindustry sector; orii.One hundred-sixty (160) audit hours auditing within the requestedFSC, oriii.A combination of work experience and audit experience for eachFSC requested;iv.An industry recognized qualification in a technical discipline withinthe requested FSC may be required. 2017 Food Marketing Institute. All Rights Reserved.7

Criteria for SQF Food Safety Auditors, QualityAuditors and Technical ReviewersFirst Published May 1995Edition 9 – October, 20172.3 SQF Food Safety Auditor Application Process2.3.1The initial applicationThe SQFI or its designee assesses the competencies of applicants for SQF foodsafety auditor registration by evaluating education, training, work experience andauditing experience against the requirements specified in section 2 of thesecriteria.Completed applications are submitted online via the SQFI website(www.sqfi.com). Food safety auditor applicants will be required to uploadevidence supporting their application in a secured format (such as pdf) as part ofthe online registration process. It is suggested that applicants have the followingdocumentation available prior to starting the application process: HACCP training certificate Lead auditor training certificate Auditing SQF Systems training certificate Work experience log Audit log Education records Professional development training records Sponsor verification formA non-refundable application fee must be paid before the application review canbegin. Once an application is approved, applicants shall pay the registration feebefore their SQFI professional credentials can be issued. Applicable fees can befound at www.sqfi.com.Applications will not be processed unless all required information is provided.On receipt of an application, all information is reviewed by SQFI or its designeefor accuracy, including documentary evidence of training and formalqualifications. In considering registration level and scope, the applicant’squalifications are evaluated, including any food sector-related training coursesundertaken and the applicant’s food sector work and auditing experience. Thereview may also evaluate the feedback received about the performance of theapplicant cited by the contacts on the application.SQFI or its designee may request additional supporting information from theapplicant as required. If the SQFI or its designee is unable to obtain satisfactoryverification of information and experience from competent referees, an interviewmay be required.Based on the information provided by the applicant, SQFI or its designee willdetermine whether to grant registration for the appropriate registration level andscope. The SQFI or its designee maintains a file on each applicant, which willremain confidential. The file will include the original application documentation;check sheets, records of investigations, appeals and complaints, auditing logs andre-registration documents. 2017 Food Marketing Institute. All Rights Reserved.8

Criteria for SQF Food Safety Auditors, QualityAuditors and Technical ReviewersFirst Published May 1995Edition 9 – October, 20172.3.2 Certificate of Registration and Identification CardEach successful applicant will receive an identification card issued by the SQFI.Certificates and ID cards have an expiry date, w

1, 2012 and a registered management system lead auditor training course of forty (40) hours duration (i.e. SQF Lead Auditor, Exemplar Global, IRCA) would meet the requirements after 2.2.2.1 2.2.2.3 HACCP training (defined in 1.2) 2.2.2.4 Successful completion of the SQF Auditor examination

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