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SQF Audit during change in ownership

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LKFS

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Posted 25 June 2021 - 03:32 PM

Good morning, Wondering if anyone has gone through this. I'm working with a small company that is trying to get SQF certified during a change in ownership and purchase of a new factory. They need the factory to be SQF certified for their customers as soon as possible, and want to get started while the ownership deal is still in escrow. They have a good QMS and good physical location, they have some work to do but will likely pass their first audit without much issue. Most of the SQF info I can find are scenarios for change in ownership with retaining employees; this will be a full change but may have some pieces not transferred over yet with permits, etc. Any risk here with scheduling an audit? 



Scampi

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Posted 25 June 2021 - 05:07 PM

15.4 Relocation of Premises SQF certification is site specific (refer to Step 3), so if you relocate your business premises, your site’s certification does not transfer to the new site. A successful certification of the new premises is required. An initial certification audit must be completed for the new facility

 

Here is the entire code, all the information you need is contained in the first section

 

https://www.sqfi.com...NAL-w-links.pdf


Edited by Scampi, 25 June 2021 - 05:14 PM.

Please stop referring to me as Sir/sirs


LKFS

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Posted 25 June 2021 - 05:13 PM

Thank you - a certificate will transfer if the majority of employees and processes remain in place and the company is already certified.

 

In this case, it's a new location, new employees, new line, new audit so not looking for a transfer, just wondering if the new audit can take place prior to ownership being complete. I've called and asked, looked through their FAQs, not finding any definite info - everything is more about ownership changes and not timing requirements. 



FSQA MKE

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Posted 25 June 2021 - 05:14 PM

Scapi,
You are correct on this. You cannot transfer a certification to a new location. The new location requires a separate certification.
If its SQF audit ready, there shouldn't be a problem scheduling an audit for this new location.


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LKFS

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Posted 25 June 2021 - 05:18 PM

Thank you. Reminder this is the question: can you begin a new audit with SQF before an ownership change is complete. 

They don't have an audit to transfer, so not looking to do so.

 

If anyone has any experience with the topic in question of a new ownership audit timing it'd be greatly appreciated!

 

 

Thanks!



SQFconsultant

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Posted 25 June 2021 - 05:40 PM

New entity will need to restart the process of everything. It's not an easy peasy transfer... in fact the auditor will be looking for multiple months of paper trail.


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Visit us @ http://www.GlennOster.com  or call us @ 772.646.4115 US-EST 8am-4pm Anyday except Thursday
 
 

TimG

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Posted 25 June 2021 - 08:08 PM

New entity will need to restart the process of everything. It's not an easy peasy transfer... in fact the auditor will be looking for multiple months of paper trail.

 

What if none of the documentation changes and they have the multiple months of paper trail? Is a change in just ownership considered 'new entity'?



BAdR2017

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Posted 25 June 2021 - 09:04 PM

Hello, based on the excerpt from the Edition 9 SQF, it looks like you will need to apply for a new certification since the facility is new. Since the ownership is still in escrow, you can consult with your SQF certifying body how soon you have the audit conducted citing that SQF certification is needed to ensure delivery to existing customers.

 

15.5 Change of Business Ownership If the ownership of a certified site changes (e.g., the site’s business has been sold), within thirty (30) calendar days of the change of ownership the new owner is required to notify the certification body and apply to retain the SQF certification and the existing certification number. If the staff with major responsibility for the management and oversight of the SQF Food Safety System has been retained, the certification body may retain the existing audit frequency status. If there are significant changes in site management and personnel, the certification body is required to complete an initial certification audit and issue a new certificate and a new certification number. The audit frequency applicable to a new certification applies.







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