sqf 1000 code

SQF 1000 Code

© Safe Quality Food Institute2345 Crystal Drive, Suite 800Arlington, VA 22202 USA202-220-0635www.sqfi.com

SQF Institute is a division of the Food Marketing Institute (FMI).

A HACCP-Based Supplier Assurance Code for the Primary Producer

5th EditionJANUARY 2010

SQF 1000 Code

A HACCP Based Supplier Assurance Code for the Primary Producer 5th Edition - August 2009 Revised January 2010

Copyright© Food Marketing Institute (FMI) 2009 2345 Crystal Drive, Arlington, Virginia, 22202 USA

SQF 1000 Code - 5th Edition Jan 2010 Mod Jan 10

First published February 2000

Copyright© Food Marketing Institute 2009. All rights reserved

Preface The Safe Quality Food (SQF) 1000 Code provides for the Primary Producer a food safety and quality management certification program that is tailored to their needs. It enables them to meet product trace, regulatory, food safety and commercial quality criteria in a structured and cost effective manner. In 1998 the Code was developed and pilot programs implemented to ensure its applicability to the primary production sector. It was prepared with the assistance of Primary Producers and experts in quality management, food safety, food regulation, food processing, agriculture production systems, food retailing, food distribution and the Hazard Analysis Critical Control Point (HACCP) Guidelines. The Food Marketing Institute (FMI) acquired the rights to the SQF Program in August 2003 and has established the SQF Institute (SQFI) Division to manage the Program. The SQF 1000 Code is recognized* by the Global Food Safety Initiative** as a standard that meets its benchmark requirements. The SQFI Technical Advisory Council reviews and makes recommendations on changes to the Code in line with the current requirements and expectations of the global food sector and other comments received from stakeholders. This review is completed, and amendments to the Code made by the 3rd anniversary date of the previous Edition. If an amendment to the Code is required to reflect the inclusion of a significant food safety requirement, or quality systems development prior to the end of the three year review cycle, then that amendment will generally be included as an amendment to the current Edition. The SQF 1000 Code*** as posted on the SQFI web site is the reference document. Notification of reviews and changes to the Code will be posted on the SQFI web site. ****Suppliers are required to implement any new editions and amendments to the Code within six months of the new edition or amendment being posted or as otherwise directed by the SQFI.

Suggestions for improvements to the Code are encouraged from all users. They should be submitted in writing and be sent to SQFI, 2345 Crystal Drive, Arlington, VA, 22202, USA.

*Recognition is at Level 2

**The Global Food Safety Initiative (GFSI) is a private organization established by the European based retail trade association, the CIES – Food Business Forum. The GFSI maintains a scheme to benchmark food safety standards (for private label products)

as well as farm assurance standards.

***The reference document is published in English.

****Audits of this Edition 6 for new Suppliers will be implemented two months after its release date. Those Suppliers with

existing SQF 1000 Certification will be required to upgrade their Systems to meet the requirements of this Edition within six

months of the release date.

Copyright© Food Marketing Institute (FMI) 2009. All rights reserved.

First Printed February 1000

Users of these Codes and the associated documents are reminded that copyright subsists in all FMI publications and software. Except where the Copyright Act allows and except where provided for below no publications or software produced by FMII may be reproduced, stored in a retrieval system in any form or transmitted by any means without prior permission in writing from FMII. Permission may be conditional on an appropriate royalty payment. All requests for permission and information on software

royalties should be directed in writing to SQFI. Care should be taken to ensure that material used is from the current edition of the Code and that it is updated whenever the

Code is amended or revised. The date of the Code should therefore be clearly identified.

The use of material in print form or in computer software programs to be used commercially, with or without payment, or in commercial contracts is subject to the payment of a royalty. FMI may vary this policy at any time.

SQF, its certification marks, intellectual property and logos are owned by FMI and are used under license by its nominated Agents.




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Contents Preface…………………………………………………………………………………………………… .............................. .. .1

Contents…………………………………………………………………………………………………….............................. 2

Introduction…………………………………………………………………………...........................……………………... 3

1. Scope ……………………………………………………………… ............................ ……………………… 4

2. References...................................................................................................4

3. Definitions ...................................................................................................5

4. SQF 1000 System Requirements.....................................................................6

4.1 Commitment ..........................................................................................7

4.2 Document Control and Records .................................................................9

4.3 Specifications .........................................................................................9

4.4 Attaining Food Safety ............................................................................ 11

4.5 Verification........................................................................................... 15

4.6 Product Identification Trace and Recall .................................................... 17

4.7 Site Security…………………………………………………………………………………………………… 18

5. Food Safety Fundamentals: Site Requirements, Facilities and Production Inputs . 20

6. Food Safety Fundamentals: Pre-requisite Programs - (Good Agriculture Practice)24

7. Global G.A.P……………………………………………………………………………………………………………. 29

7.1 Genetically Modified Organisms…………………………………………………………………….. 29

7.2 Fertilizer…………………………………………………………………………………………………………… 29

7.3 Crop Protection……………………………………………………………………………………………….. 29

7.4 Workers Health, Safety and Welfare………………………………………………………………. 30

7.5 Environmental………………………………………………………………………………………………… .. 31

8. Implementing a SQF 1000 System………..…………………………………………………………….. 33

9. Principles & Application of HACCP................................................................. 37

10. Certifying SQF 1000 Systems ...................................................................... 38

11. SQFI Audit and Certification Management System and Supplier Database……...... 49

12. SQF 1000 Certification Trade Mark – Rules for Use…………………………………………… ... 51

13. Multi-site Certification………………………………………………………………………………………………52

Appendix 1 Food Sector Categories................................................................................ 56

Appendix 2 SQF 1000 Certificate of Registration.............................................................. 59




3

Introduction

The SQF 1000 Code is designed for Primary Producers. It enables Producers to demonstrate that they have implemented responsible production practices to deliver safe food that meets the quality standards specified by their customer. The SQF 1000 Code provides an opportunity for Producers to implement a management system that covers multiple products. It is ideally suited for Producers directly supplying retailers, brokers and agents, or other “customers” who have implemented the SQF 1000 Code. The main feature of the Code is that it is based on the Hazard Analysis and Critical Control Point (HACCP) system, a proven method used by the food industry to minimize food safety risks and reduce the incidence of unsafe food reaching the marketplace (see Appendix 2). The implementation of an SQF 1000 management system addresses a buyer’s food safety and quality requirements and provides the solution for Producers supplying local and global food markets. Certification of SQF 1000 Systems by a Certification Body is not a statement that the Certification Body guarantees the safety of a Supplier’s food or service. It is not a guarantee that all food safety regulations are being met, or will continue to be met, at all times. It is a statement that the Supplier’s Food Safety Plans have been implemented in accordance with the HACCP Method and applicable regulatory requirements and that they have been validated and verified and determined effective to manage food safety. It is also a statement of the Supplier’s commitment to: 1. Produce safe, quality food. 2. Comply with the requirements of the SQF 1000 Code. 3. Comply with applicable food legislation. The development of the SQF 1000 Code emphasizes the importance of independent third party assurance of food safety and quality by all sectors of the food industry. The SQF 1000 Code is divided into three Certification levels. An explanation of each level is provided in Appendix 1. Each Level is designed to indicate the level of development of a Producer’s food safety and quality management system as follows:

Level 1 Food Safety Fundamentals

Level 2 Certified HACCP Based Food Safety Plans

Level 3 Comprehensive Food Safety and Quality Management System

This document outlines the requirements to achieve SQF 1000 Certification at each certification level.

The word “shall” is used throughout this document to indicate mandatory provisions.



LEVEL 1 LEVEL 2 (GFSI Recognition Level) LEVEL 3 (GFSI & Quality Management)


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1. Scope 1. Scope 1. Scope The SQF 1000 Code Level 1 outlines the general

food safety system requirements applied by a

Primary Producer for:

1. Field packing of fresh produce; and

2. Pre-farm gate production, harvesting and

preparation of primary products intended for

further processing.

The scope of SQF 1000 is intended to be primary

agricultural producers. Included in this scope for

application in produce is the grower/shipper/packer

who is packing self-grown product.

High Risk Foods: Where a product is deemed High

Risk Food the Producer shall be required to

implement an SQF 1000 System meeting the

requirements of Level 2 as a minimum.

Examples of High Risk Food include but are not

limited to;

1. Food Sector Category 3; Growing and

production of Fresh Produce (raw seed sprouts

including bean sprouts and alfalfa sprouts); and

2. Food Sector Category 6; Harvest and Intensive

Farming of Fish (oysters and mussels).

Where any requirement(s) of this Code cannot be

applied due to the type of production or product (a

raw material that will be subject to further

Processing), this can be considered for exclusion.

Exclusions must be justified in writing to the

Certification Body and must not affect the

Producer’s ability, or responsibility, to supply

product that meets the intent of this Code and

customer and regulatory requirements. Exclusions

are to be supported by a detailed risk analysis

outlining the basis for any exclusion or alternative

control measure to demonstrate food safety and

quality (level 3) is not compromised.

The SQF 1000 Code Level 2 outlines the general

food safety system requirements applied by a

Primary Producer for:

1. Field packing of fresh produce;


preparation of primary products intended for

further processing; and

3. For the supply of High Risk Foods.


















The SQF 1000 Code Level 3 outlines the general

food safety and quality system requirements

applied by a Primary Producer for:

1. Field packing of fresh produce;


preparation, storage and transport of primary

products intended for further processing; and

3. The supply of High Risk Foods.





The SQF 1000 Code Level 3 can also be

implemented by entities providing agricultural

contract services to the Primary Producer.

Note: Agricultural contract services includes the

provision of cultivation, sowing, spraying and

harvesting of a crop, animal husbandry services

and the storage and transport of a crop and live

animals or advice on the application of these

services.





Exclusions may also include other Clauses.














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2. References 2. References 2. References The Code makes reference to the current edition

of the CODEX Alimentarius Commission

Guidelines for the Application of the Hazard

Analysis and Critical Control Point (HACCP)

System and the National Advisory Committee on

Microbiological Criteria for Foods (NACMCF)

Hazard Analysis and Critical Control Point

Principles and Application Guidelines, adopted

August 14, 1997. It also makes reference to the

SQF 1000 Code.

The Code makes reference to the current edition









SQF 1000 Code.

The Code makes reference to the current edition









SQF 1000 Code.

3. Definitions 3. Definitions 3. Definitions For the purpose of this Code the definitions

outlined in “SQF Program – Vocabulary” apply.

Note: Words starting with a Capital Letter

indicates that the word is further defined in this

Vocabulary.

Commercial packing – The packing of

product that is grown by multiple farmers,

owners, or contract farmers independent of

the packing operation in a facility which may

or may not be in close proximity to the fields

(food sector category 4).

Field packing – The packing of product that

is grown by the owner, contract farmer and

small number of closely associated growers

into finished product packing while in the

field, or facilities that are adjacent or in the

close proximity to the field (food sector

category 3).

For the purpose of this Code the definitions


Note: Words starting with a Capital Letter indicates

that the word is further defined in this Vocabulary.

Pack house – a building which is entirely

enclosed with a floor, walls and ceiling in

which produce is prepared for final customer

package through inspection, rinsing, sorting,

washing, and boxing.

Field shed - a temporary or permanent

structure adjacent to the field which is meant

to prepare or pack produce for final customer

packing. Inspection, sorting and boxing are

the activities occur within field shed.

For the purpose of this Code the definitions


Note: Words starting with a Capital Letter indicates

that the word is further defined in this Vocabulary.





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SQF 1000 Code - 5th Edition Jan 2010Mod Jan 10



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Section 4: SQF 1000 System Requirements

Contents

4.1 Commitment

4.1.1 Management Policy ......................................................................................................... 7

4.1.2 Management Responsibility .............................................................................................. 7

4.1.3 Food Safety and Quality Management System...................................................................... 8

4.1.4 Management Review........................................................................................................ 8

4.1.5 Complaint Management.................................................................................................... 9

4.2 Document Control and Records

4.2.1 Document Control ........................................................................................................... 9

4.2.2 Records ......................................................................................................................... 9

4.3 Specification

4.3.1 Raw Materials ...............................................................................................................10

4.3.2 Packaging .....................................................................................................................10

4.3.3 Contract Service Providers ...............................................................................................11

4.3.4 Finished Product.............................................................................................................11

4.4 Attaining Food Safety

4.4.1 Food Legislation (Regulation) ...........................................................................................11

4.4.2 Food Safety Fundamentals ...............................................................................................12

4.4.3 Food Safety Plan ............................................................................................................12

4.4.4 Food Quality Plan ...........................................................................................................13

4.4.5 Incoming Goods and Services...........................................................................................15

4.4.6 Corrective and Preventative Action....................................................................................15

4.4.7 Non-conforming Product or Equipment...............................................................................15

4.5 Verification

4.5.1 Responsibility, Frequency and Methods ..............................................................................15

4.5.2 Validation......................................................................................................................16

4.5.3 Internal Audits ...............................................................................................................17

4.6 Product Identification Trace and Recall

4.6.1 Product Identification ......................................................................................................17

4.6.2 Product Trace ................................................................................................................17

4.6.3 Product Withdrawal and Recall..........................................................................................18

4.7 Site Security

4.7.1 Food Defense.................................................................................................................18





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4. SQF 1000 System Requirements 4. SQF 1000 System Requirements 4. SQF 1000 System Requirements

4.1 Commitment 4.1 Commitment 4.1 Commitment

The Producer shall provide evidence of its

commitment to implement and maintain an

effective SQF 1000 System and to support its

ongoing improvement.









4.1.1 Management Policy 4.1.1 Management Policy 4.1.1 Management Policy

4.1.1.1 The Producer shall, in a Policy Statement,

outline a commitment to supply safe food and to

comply with its customer and regulatory

requirements. The Policy Statement shall be:

i. Signed by Senior Management;

ii. Made available in language understood by all

employees; and

iii. Displayed in a prominent position and

communicated to all employees.


outline a commitment to supply safe food and

define the methods used to comply with its

customer and regulatory requirements and to

continually improve its food safety management

systems. The Policy Statement shall be:



employees; and




outline a commitment to supply safe, quality food,

define the methods used to comply with its

customer and regulatory requirements and

continually improve its food safety and quality

management system. The Policy Statement shall

be:



employees; and



4.1.2 Management Responsibility 4.1.2 Management Responsibility 4.1.2 Management Responsibility

4.1.2.1 The organizational reporting structure

describing those who have responsibility for food

safety shall be defined and communicated within

the organization.

4.1.2.2 The Producer shall ensure adequate

resources are available to support the

development, implementation and maintenance of

the SQF 1000 System. The Producer shall

designate an SQF Practitioner with responsibility

and authority to:

i. Lead the development and implementation of

Food Safety Fundamentals outlined in 4.4.2;

ii. Oversee the development, implementation,

review and maintenance of the SQF 1000

System; and



safety shall be defined and communicated within

the organization.


resources are available to support the

development, implementation, maintenance and

ongoing improvement of the SQF 1000 System.

The Producer shall designate an SQF Practitioner

with responsibility and authority to:


Food Safety Fundamentals outlined in 4.4.2;

and the Food Safety Plan outlined in 4.4.3;





safety and quality and their interrelationship shall

be defined and communicated within the

organization.


resources are available to achieve its food safety

and quality objectives and to support the

development, implementation and maintenance

and ongoing improvement of the SQF 1000

System. The Producer shall designate an SQF

Practitioner with responsibility and authority to:


Food Safety Fundamentals outlined in 4.4.2,

the Food Safety Plan outlined in 4.4.3 and the





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iii. Take appropriate action to ensure the integrity

of the SQF 1000 System.

4.1.2.3 The Producer shall establish and

implement the training needs of the organization. 4.1.2.4 All employees shall be informed of their

responsibility to report food safety problems to

personnel with authority to initiate action.

System; and

iii. Take appropriate action to ensure the integrity

of the SQF 1000 System.

4.1.2.3 The responsibility for establishing and

implementing the training needs of the

organization shall be defined and documented. 4.1.2.4 All employees shall be informed of their

responsibility to report food safety problems to

personnel with authority to initiate action. 4.1.2.5 Job descriptions for those responsible for

food safety and quality shall be documented and

include provision to cover for the absence of key

personnel

Food Quality Plan outlined in 4.4.4;



System; and

iii. Take appropriate action to maintain the

integrity of the SQF 1000 System.

4.1.2.3 The responsibility for establishing and

implementing the training needs of the

organization shall be defined and documented. 4.1.2.4 All employees shall be informed of their

responsibility to report food safety and quality

problems to personnel with authority to initiate

action. 4.1.2.5 Job descriptions for those responsible for

food safety and quality shall be documented and

include provision to cover for the absence of key

personnel.

4.1.3 Food Safety Management System 4.1.3 Food Safety Management System 4.1.3 Food Safety and Quality Management

System

4.1.3.1 A Food Safety Manual shall be

documented, made available to relevant

employees and include:

i. The Policy Statement and Organization

Chart;

ii. The Scope of the Certification;

iii. A list of the products covered under the

Scope of Certification; and

iv. The written Food Safety Fundamentals,

Pre-requisite Programs and other

documentation necessary to support the

development, implementation, maintenance

and control of the SQF 1000 System.

4.1.3.1 A Food Safety Manual shall be

documented, maintained made available to

relevant employees and include:

i. The Policy Statement and Organization

Chart;


iii. A list of the products covered under the

Scope of Certification; and

iv. The written Food Safety Fundamentals,

Pre-requisite Programs, Food Safety Plans and

other documentation necessary to support the



4.1.3.1 A Food Safety and Quality Manual shall be

documented, maintained made available to

relevant employees and include;

i. The Policy Statement and Organization Chart;


iii. A list of the products covered under the Scope

of Certification; and

iv. The written Food Safety Fundamentals, Pre-

requisite Programs, Food Safety Plans and

Food Quality Plans and other procedures and

documentation necessary to support the



4.1.4 Management Review 4.1.4 Management Review 4.1.4 Management Review

4.1.4.1 The Producer shall be responsible for

reviewing the SQF 1000 System.

4.1.4.2 The SQF 1000 System in its entirety shall

be reviewed at least annually.


reviewing the SQF 1000 System and documenting

the review procedure.



reviewing the SQF 1000 System and documenting

the review procedure.






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4.1.4.3 Food Safety Fundamentals outlined in

4.4.2 shall be reviewed when any changes

implemented have an impact on the Producer’s

ability to deliver safe food.

4.1.4.4 The SQF Practitioner shall be responsible

for validating any changes to Food Safety

Fundamentals outlined in 4.4.2 that have an

impact on the Producer’s ability to deliver safe

food.

Note: The Producer can utilize the services of an

SQF Consultant to assist in the validation and

verification activities outlined in 4.1.4.4.

4.1.4.5 Records of all reviews and changes to the

SQF 1000 System shall be maintained.



4.4.2 and Food Safety Plans shall be reviewed

when any changes implemented have an impact on

the Producer’s ability to deliver safe food.


for validating any major changes to Food Safety

Fundamentals outlined in 4.4.2 and Food Safety

Plans that have an impact on the Producer’s ability

to deliver safe food.








4.4.2, Food Safety Plans and Food Quality Plans

shall be reviewed when any changes implemented

have an impact on the Producer’s ability to deliver

safe, quality food.


for validating any major changes to Food Safety

Fundamentals outlined in 4.4.2, Food Safety Plans

and Food Quality Plans that have an impact on the

Producer’s ability to deliver safe food.






4.1.5 Complaint Management 4.1.5 Complaint Management 4.1.5 Complaint Management

Not applicable at this Level 1 4.1.5.1 The methods and responsibility for

handling and investigating the cause and resolution

of customer complaints shall be documented and

implemented.

4.1.5.2 Records of customer complaints and their

investigations shall be maintained.

4.1.5.1 The methods and responsibility for

handling and investigating the cause and

resolution of customer complaints shall be

documented and implemented.

4.1.5.2 Records of customer complaints and their

investigations shall be maintained.

4.2 Document Control and Records 4.2 Document Control and Records 4.2 Document Control and Records

4.2.1 Document Control 4.2.1 Document Control 4.2.1 Document Control

4.2.1.1 A list of current SQF 1000 System

documents shall be maintained, safely stored and

readily accessible.


maintaining document control shall be documented

and implemented.

4.2.1.2 A register of current SQF 1000 System

documents and amendments to documents shall be

maintained. Documents shall be safely stored and

readily accessible.


maintaining document control shall be documented

and implemented.

4.2.1.2 A register of current SQF 1000 System

documents and amendments to documents shall be

maintained. Documents shall be safely stored and

readily accessible.

4.2.2 Records 4.2.2 Records 4.2.2 Records

4.2.2.1 All records shall be legible and signed and

dated by those undertaking monitoring activities to

4.2.2.1 All records shall be legible and signed and



undertaking monitoring activities, verifying,





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demonstrate inspections, analyses and other

essential activities have been completed.

4.2.2.2 Records shall be securely stored to

prevent damage and deterioration and shall be

retained in accordance with periods specified by a

customer or legislation (regulation).

demonstrate inspections, analyses and other


4.2.2.2 Records shall be securely stored to prevent

damage and deterioration and shall be retained in

accordance with periods specified by a customer or

legislation (regulation).

maintaining and retaining records shall be


4.2.2.2 All records shall be legible, signed and


demonstrate that inspections, analyses and other


4.2.2.3 Records shall be securely stored to prevent

damage and deterioration and shall be retained in

accordance with periods specified by a customer or

legislation (regulation).

4.3 Specifications 4.3 Specifications 4.3 Specifications

4.3.1 Raw Materials 4.3.1 Raw Materials 4.3.1 Raw Materials

4.3.1.1 Specifications for raw materials purchased

that impact on finished product safety shall be

documented and kept current.

Note: Raw materials include but are not limited to

ingredients, chemicals, antibiotics, seed, cultivars,

premix compounded and medicated animal feed

and soil amendments (chemical and organic).



documented and kept current.

4.3.1.2 A register of raw material specifications

shall be maintained.






that impact on finished product safety and quality

shall document and keep current.

4.3.1.2 A register of raw material specifications






4.3.2 Packaging 4.3.2 Packaging 4.3.2 Packaging

4.3.2.1 Specifications for all packaging materials


provided, comply with the relevant legislation and

kept current.



provided and comply with the relevant legislation.

4.3.2.2 The functionality of packaging material

shall be validated to ensure product safety is not

compromised and the material is fit for its intended

purpose and suitable for use.

4.3.2.3 A register of packaging specifications and

label approvals shall be maintained and kept

current.


that impact on finished product safety and quality

shall be provided and comply with the relevant

legislation.


developing and approving detailed specifications

and labels for all packaging shall be documented.

4.3.2.3 The functionality of packaging material

shall be validated to ensure product safety and

quality is not compromised and the material is fit

for its intended purpose and suitable for use.

4.3.2.4 A register of packaging specifications and

label approvals shall be maintained and kept

current.





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4.3.3 Contract Service Providers 4.3.3 Contract Service Providers 4.3.3 Contract Service Providers

4.3.3.1 Specifications for contract services that

impact on finished product safety shall be

documented, current, include a full description of

the service to be provided and detail relevant

training requirements of contract personnel.

Note: Contract Services include but are not limited

to pest control contractors, harvesting contractors,

spray contractors, crop protection plan

development consultants, animal health plan

development consultants and transport

contractors.


impact on finished product safety shall be

documented, current, include a full description of

the service to be provided and detail relevant


4.3.3.2 A register of all contract service

specifications shall be maintained.






contractors.


impact on finished product safety and quality shall

be documented, current, include a full description

of the service to be provided and detail relevant


4.3.3.2 A register of all contract service

specifications shall be maintained.






contractors.

4.3.4 Finished Product 4.3.4 Finished Product 4.3.4 Finished Product

4.3.4.1 Finished product specifications shall be

documented, current, formally agreed with the

customer, and accessible to relevant employees.

Note: Finished product Specifications can also

include production by-products that are used for

further processing E.g. reject apples for the

manufacture of apple juice.




4.3.4.2 A register of finished product specifications





manufacture of apple juice production.




4.3.4.2 A register of finished product specifications





manufacture of apple juice production.

4.4 Attaining Food Safety 4.4 Attaining Food Safety 4.4 Attaining Food Safety

4.4.1 Food Legislation (Regulation) 4.4.1 Food Legislation (Regulation) 4.4.1 Food Legislation (Regulation)

The Producer shall ensure that, at the time of

delivery to its customer, the product supplied shall

comply with the food safety legislation that applies

to the product and its production in the country of

its origin and destination.

Note: In addition to meeting food safety standards

outlined in the legislation Producers will also need

to demonstrate compliance with legislative

requirements applicable to trade weights and























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measures, Minimum Regulatory Limits (MRL’s),

packaging (if used), product description and

related labeling declarations.







4.4.2 Food Safety Fundamentals 4.4.2 Food Safety Fundamentals 4.4.2 Food Safety Fundamentals

The Producer shall make provision to ensure

fundamental food safety practices are adopted and

maintained.

4.4.2.1 The property, buildings and equipment

shall be located, constructed and designed to

facilitate the proper production, handling and

storage of safe product.

Note 1: The requirements outlined in clause

4.4.2.1 are further described in detail under

Section 5.0.

4.4.2.2 An analysis of the hazards associated with

the site and the source, storage and use of

production inputs that may impact on the

Producers ability to deliver safe product shall be

undertaken and control measures implemented.

4.4.2.3 Critical limits associated with the control

measures identified in 4.4.2.2 shall be validated

and verified by the SQF Practitioner.

Note 2: The Supplier can utilize the services of an


verification activities outlined in 4.4.2.2/3.

4.4.2.4 Those Pre-requisite Programs applicable

to the Scope of Certification that outline the means

by which food safety is controlled and assured

shall be documented and implemented.

Note 3: The Pre-requisite Program requirements

outlined in this clause 4.4.2.4 are further

described in detail under Section 6.0.

4.4.2.5 Pre-requisite Programs shall be validated

and verified as described in 4.5.




Senior management shall make provision to ensure


maintained.







Section 5.0.











verification activities outlined in 4.4.2.2/3.

4.4.2.4 Those Pre-requisite Programs applicable to

the Scope of Certification that outline the means by

which food safety is controlled and assured shall be










Senior management shall make provision to ensure


maintained.







Section 5.0.










SQF Consultant to assist in the hazard analysis,

validation and verification activities outlined in

4.4.2.2/3.

4.4.2.4 Those Pre-requisite Programs applicable to

the Scope of Certification that outline the means

by which food safety is controlled and assured

shall be documented and implemented.













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4.4.3 Food Safety Plan 4.4.3 Food Safety Plan 4.4.3 Food Safety Plan

Not applicable at this Level 1 4.4.3.1 A Food Safety Plan outlining the means by

which the Producer will control and assure food

safety shall be prepared. The Food Safety Plan

shall outline the results of a hazard analysis

conducted to identify food safety hazards

(including allergens and other contaminants). It

shall prescribe the measures taken to apply those

critical controls implemented to assure, monitor

and maintain food safety. The Food Safety Plans

shall:

i. Be prepared in accordance with the HACCP

Method; and

ii. Cover a product (e.g. a crop, produce,

livestock, aquaculture or fishery) and its

production, and

iii. Include documented Standard Operating

Practices (SOPs) and Work Instructions (WIs)

applicable to the organizations Scope of

Certification.

Note 1: A Reference Food Safety Plan developed by

a responsible authority can be used as the basis for

the preparation of the Producers Food Safety Plan.

However the Producer must ensure the Food Safety

Plan implemented reflects those production

activities carried out.

4.4.3.2 Food Safety Plans Shall be effectively

developed, implemented and maintained; and

validated and verified as described in 4.5.

Note 2: The Producer can utilize the services of an

SQF Consultant to assist the validation and


4.4.3.1 A Food Safety Plan outlining the means by

which the Producer will control and assure food

safety shall be prepared. The Food Safety Plan

shall outline the results of a hazard analysis

conducted to identify food safety hazards

(including allergens and other contaminants). It

shall prescribe the measures taken to apply those

critical controls implemented to assure, monitor

and maintain food safety. The Food Safety Plans

shall:

i. Be prepared in accordance with the HACCP

Method; and



production, and




Certification.

Note 1: A Reference Food Safety Plan developed by

a responsible authority can be used as the basis for

the preparation of the Producers Food Safety Plan.

However the Producer must ensure the Food Safety

Plan implemented reflects those production

activities carried out.

4.4.3.2 Food Safety Plans Shall be effectively

developed, implemented and maintained; and

validated and verified as described in 4.5.


SQF Consultant to utilize the validation and


4.4.4 Food Quality Plan 4.4.4 Food Quality Plan 4.4.4 Food Quality Plan

Not applicable at this Level 1 Not applicable at this Level 2 4.4.4.1 A Food Quality Plan which outlines the

means by which food quality will be controlled and

assured shall be documented. The Food Quality

Plan shall outline the results of a food quality risk





15

analysis conducted to identify threats to achieving

and maintaining product and process quality and

prescribe those measures taken to apply the

controls implemented that are critical to assuring,

monitoring and maintaining food quality. The Food

Quality Plans shall:

i. Be based on the HACCP Method;



production;




Certification; and

iv. Include the validation of those SOPs and WIs

and verification that they have been

implemented and continue to be implemented

and maintained.

4.4.4.2 Food Quality Plans, SOPs, and WIs shall be

effectively developed, implemented and

maintained; and validated and verified maintained

as outlined in 4.5.


SQF Consultant to utilize the validation and






16

4.4.5 Incoming Goods and Services 4.4.5 Incoming Goods and Services 4.4.5 Incoming Goods and Services

4.4.5.1 Raw materials and services that impact

on finished product safety shall be inspected or

analyzed before use in emergency circumstances

or supplied by an Approved Supplier.

4.4.5.2 Inspections and analyses shall conform to

the requirements outlined in 4.5.

4.4.5.1 Raw materials and services that impact on

finished product safety shall be inspected or

analyzed before use in emergency circumstances

or supplied by an Approved Supplier.



4.4.5.3 The selection, approval and monitoring of

Approved Suppliers shall conform to the

requirements outlined in 6.11.

4.4.5.1 Raw materials and services that impact on

finished product safety and quality shall be

inspected or analyzed before use in emergency

circumstances or supplied by an Approved

Supplier.



4.4.5.3 The selection, approval and monitoring of

Approved Suppliers shall conform to the

requirements outlined in 6.11.

4.4.6 Corrective and Preventive Action 4.4.6 Corrective and Preventive Action 4.4.6 Corrective and Preventive Action

4.4.6.1 Corrective Action shall be managed and

controlled.

4.4.6.2 Records of Corrective Action taken shall

be maintained.

4.4.6.1 The responsibility and methods outlining

how Corrections and Corrective Action is managed

and controlled shall be documented and

implemented.

4.4.6.2 Records of all investigation and resolution

of Corrections and Corrective Action shall be

maintained.


how Corrections and Corrective Action is managed

and controlled shall be documented and

implemented.

4.4.6.2 Records of all investigation and resolution

of Corrections and Corrective Action shall be

maintained.

4.4.7 Non-Conforming Product 4.4.7 Non-Conforming Product 4.4.7 Non-Conforming Product

4.4.7.1 Non-conforming product shall be handled

and disposed of in a manner that minimizes the

risk of inadvertent use, improper use or risk to the

integrity of finished product.

4.4.7.2 Records of the handling and disposal of

non-conforming product are maintained.


how non-conforming product identified during

receipt, storage, growing, packing, handling or

delivery is isolated and identified shall be

documented and implemented. The procedure

must document the grower, field name, quantity

and final disposition of the unacceptable materials

when applicable. The methods applied shall

ensure:

i. Non-conforming product or equipment is

identified, handled and disposed of in a manner

that minimizes the risk of inadvertent use,

improper use or risk to the integrity of finished

product; and

ii. Records of the handling and disposal of non-

conforming product are maintained.


how non-conforming product identified during

receipt, storage, growing, packing, handling or

delivery is isolated and identified shall be

documented and implemented. The procedure

must document the grower, field name, quantity

and final disposition of the unacceptable materials

when applicable. The methods applied shall

ensure:

i. Non-conforming product or equipment is

identified, handled and disposed of in a

manner that minimizes the risk of inadvertent

use, improper use or risk to the integrity of

finished product; and

ii. Records of the handling and disposal of non-

conforming product are maintained.





17

4.5 Verification 4.5 Verification 4.5 Verification

4.5.1 Responsibility, Frequency and Methods 4.5.1 Responsibility, Frequency and Methods 4.5.1 Responsibility, Frequency and Methods

4.5.1.1 Verification activities outlined in 4.5 shall be

the responsibility of the SQF Practitioner.

4.5.1.2 The frequency and methods used to

validate and verify critical limits established for

those hazards associated with the source, storage

and use of production inputs, and the application

of Pre-requisite Programs shall be documented and

implemented.

4.5.1.3 Records of all verification activities shall be

maintained.



4.5.1.2 The frequency and methods used to verify

critical limits established for those hazards

associated with the source, storage and use of

production inputs, and the application of Pre-

requisite Programs shall be documented and

implemented.


that each critical control point and other food

safety controls identified in Food Safety Plans achieve

their intended purpose, and are controlled as

designated shall be documented and implemented.

Also SQF Practitioner must confirm that:

i. Verification that inspection, tests and

analysis occurred as planned and that a

responsible person reviewed the results and

initiated corrective action as required; and

ii. Verification that monitoring activities are

carried out as planned.


maintained.




critical limits established for those hazards

associated with the source, storage and use of

production inputs, and the application of Pre-

requisite Programs shall be documented and

implemented.


that each critical control point and other food

safety and quality controls identified in Food Safety

Plans and Food Quality Plans achieve their intended

purpose, and are controlled as designated shall be

documented and implemented. Also SQF

Practitioner must confirm that:

i. Verification that inspection, tests and

analysis occurred as planned and that a

responsible person reviewed the results and

initiated corrective action as required; and

ii. Verification that monitoring activities are

carried out as planned.


maintained.

4.5.2 Validation 4.5.2 Validation 4.5.2 Validation

4.5.2.1 The validation of critical limits established

for those hazards associated with the source,

storage and use of production inputs and the

correct application of Pre-requisite Programs, and

other food safety controls shall be undertaken.

4.5.2.1 The frequency and methods used for

validation of the critical limits established for those

hazards identified in Food Safety Fundamentals,

Pre-requisite Programs, Food Safety Plans and

other food safety controls established shall be


4.5.2.2 Validation activities shall include:

i. Validation and re-validation of the critical limits

established for those hazards associated with

the source, storage and use of production

4.5.2.1 The frequency and methods used for

validation of the critical limits established for those

hazards identified in Food Safety Fundamentals,

Pre-requisite Programs, Food Safety Plans, Food

Quality Plans and other food safety and quality

controls established shall be documented and

implemented.

4.5.2.2 Validation activities shall include:

i. Validation and re-validation of the critical

limits established for those hazards





18

inputs and Pre-requisite Programs and

described in Food Safety Plans;

ii. Validation that any change to process or

procedure is still effective in controlling

identified hazards.

4.5.2.3 Validation activities shall be the

responsibility of the SQF Practitioner.

4.5.2.4 Records of all validation activities shall be

maintained.

associated with the source, storage and use

of production inputs and Pre-requisite

Programs and described in Food Safety Plans

and Food Quality Plans;

ii. Validation that any change to process or

procedure is still effective in controlling

identified hazards.

4.5.2.3 The methods, responsibility and criteria for

analyzing and assessing product quality shall be


4.5.2.4 Validation activities shall be the

responsibility of the SQF Practitioner.

4.5.2.5 Records of all validation activities shall be

maintained.

4.5.3 Internal Audits 4.5.3 Internal Audits 4.5.3 Internal Audits

4.5.3.1 Regular inspections to verify the

effectiveness of the SQF 1000 System shall be

completed. The Producer shall:

i. Take action to correct any deficiencies found;

and

ii. Maintain records of inspections and any action

arising from inspections.

4.5.3.1 Regular internal audits to verify the


documented and implemented. The Producer shall:

i. Identify who is responsible for conducting

internal audits;

ii. Take appropriate and timely action correct any

deficiencies found; and

iii. Maintain records of internal audits and any

actions arising from internal audits.

4.5.3.1 Regular internal audits to verify the


documented and implemented. The Producer shall:

i. Identify who is responsible for conducting

internal audits;

ii. Take appropriate and timely action correct any

deficiencies found; and

iii. Maintain records of internal audits and any

action arising from internal audits.

4.6 Product Identification, Trace, Withdrawal and Recall



4.6.1 Product Identification 4.6.1 Product Identification 4.6.1 Product Identification

4.6.1.1 A product identification system shall be

implemented to ensure:

i. Product is clearly identifiable during all stages

of receipt, production, storage and dispatch;

ii. Finished product is labeled to the customer

specification and/or regulatory requirements;

and

iii. Product identification records shall be

4.6.1.1 A product identification system shall be





specification and/or regulatory requirements;

and



identifying product during all stages of production

and storage shall be documented and

implemented. The product identification system

shall be implemented to ensure:








19

maintained. maintained. specification and/or regulatory requirements;

and


maintained.

4.6.2 Product Trace 4.6.2 Product Trace 4.6.2 Product Trace

4.6.2.1 A product trace system shall be


i. Finished product is traceable to the customer

(one up) and provides traceability through the

process to raw materials and other inputs

(including services performed) (one back);

ii. Traceability is maintained where product is

reworked, repacked and downgraded; and

iii. Records of product dispatch and destination

are maintained.

4.6.2.1 A product trace system shall be








iii. Records of product dispatch and destination are

maintained.

4.6.2.1 The responsibility and methods used to

trace product shall be documented and








iii. Records of product dispatch and destination

are maintained.

4.6.3 Product Withdrawal and Recall 4.6.3 Product Withdrawal and Recall 4.6.3 Product Withdrawal and Recall

4.6.3.1 The Producer shall outline the methods

and responsibility for notifying their customers and

other essential bodies where circumstances arise

that require product to be withdrawn or recalled.


withdrawal and recall product shall be documented

and implemented. The procedure shall:

i. Identify those responsible for initiating,

managing and investigating a product

withdrawal or recall;

ii. Describe the management procedures to be

implemented; and

iii. Outline the methods used to ensure

customers and other essential bodies are

notified in a timely manner appropriate to the

nature of the incident.

4.6.3.2 Records of all product withdrawal and

recalls shall be maintained.


withdrawal and recall product shall be documented

and implemented. The procedure shall:

i. Identify those responsible for initiating,

managing and investigating a product

withdrawal or recall;

ii. Describe the management procedures to be

implemented; and

iii. Outline the methods used to ensure

customers and other essential bodies are

notified in a timely manner appropriate to the

nature of the incident.

4.6.3.2 Investigation shall be undertaken to

determine the cause of a withdrawal / recall and

details of investigations and any action taken shall

be documented.

4.6.3.3 The product withdrawal and recall system

shall be reviewed and tested at least annually.

4.6.3.4 Records of all product withdrawals and

recalls shall be maintained.





20

4.7 Site Security 4.7 Site Security 4.7 Site Security

4.7.1 Food Defense 4.7.1 Food Defense 4.7.1 Food Defense

4.7.1.1 The Producer shall implement systems to

restrict access to a crop during growing and

harvest so as to minimize adulteration caused by

deliberate acts of sabotage or terrorist like

incidents.

4.7.1.2 A food defense protocol shall be prepared

and include:

i. The name of the person responsible for

Food Defense;

ii. The methods to ensure only authorized

vehicles / personal have access to crop,

packing, equipment and storage areas;

iii. The methods implemented to secure

Hazardous Chemicals, packaging and

harvesting equipment and protect crop

from intentional adulteration;

iv. The measures to ensure harvested crop is

held under secure storage; and

v. The methods used to record and control

access of employees, contractors, and

visitors to the property.





incidents.


and include:


Food Defense;






harvesting equipment and protect crop

from intentional adulteration;










incidents.


and include:


Food Defense;






harvesting equipment and protect crop from

intentional adulteration;






SQF 1000 Code - 5th Edition Jan 2010



21

5. Food Safety Fundamentals: Site Requirements, Facilities and Production Inputs

Note: Exclusions to these requirements or alternative methods of control are permitted however they are to be supported by a detailed risk analysis outlining the basis for any exclusion or alternative control measure to demonstrate food safety and quality (level 3) is not compromised.

5.1 Site Requirements 5.1.1 Property Location

5.5.1.1 The location of the property shall be such that adjacent and adjoining buildings, operations and land use do not interfere with the safe and hygienic operations on the property. The Producer shall conduct an analysis of the hazards associated with the farm/ranch or plot location that may contribute to the production of unsafe product. Consideration shall be given to the following:

i. History of land use. ii. Topography. iii. Adjacent land use. iv. Other factors that may impact on the ability of the Producer to supply safe product.

5.5.1.2 The analysis shall be re-evaluated in the event of any circumstance or change that may impact on the production of safe product.

5.2 Toilets and Amenities 5.2.1 Toilet Facilities

5.2.1.1 Toilet facilities shall be provided and designed, constructed and located away from crop and a food contact/handling zone so as not to present a food safety hazard and easily accessible to employees.

i. Toilets shall cater for the maximum number of employees and be constructed so that they can be easily cleaned and maintained.

ii. Hand wash basins with clean water, hand soap, disposable towels or hand drying device, waste bins and a tank that captures used hand wash water for disposal shall be provided inside or adjacent to toilet facilities;

iii. Signage in appropriate languages shall be provided adjacent to hand wash basins advising people to wash their hands after each toilet visit.

iv. Racks for protective clothing used by field packing employees shall be provided; v. Toilets shall be located so as to provide easy access on farms for field workers;

5.2.2 Amenities

5.2.2.1 Provision shall be made to store employees personal belongings away from crops, harvesting and field processing and packing operations, and processing equipment.

5.2.2.2 Areas for meal breaks shall be designated and located away from a food contact/handling zones and processing equipment.

5.3 First Aid 5.3.1 Access to First Aid

5.3.1.1 First aid facilities shall be provided to treat minor injuries and suitable arrangements shall be provided in circumstances when a patient requires more specialized care.

5.4 Water Supply 5.4.1 Irrigation Water

5.4.1.1 Irrigation water shall be drawn from a known clean source or treated to make it suitable for use. The Producer shall conduct an analysis of the hazards to the irrigation water supply from source through to application, establish acceptance criteria for the monitoring of water and validate and verify the integrity of the water used to ensure it if fit for the purpose.

5.4.2 Treatment of Irrigation Water

5.4.2.1 In circumstances where irrigation water is treated to render it acceptable, the water, after treatment shall conform to the microbiological standards as outlined under 6.9.1.

5.5 Storage Facilities 5.5.1 Chillers and Cold Stores

5.5.1.1 The Producer shall provide confirmation of construction approvals and the effective operational performance of any chilling and chill storage facility.




22

5.5.1.2 Floors shall be constructed of smooth, dense impact resistant material that is impervious to liquid and easily cleaned. Floors shall be effectively graded, to allow the effective removal of all overflow or waste water under normal conditions.

5.5.1.3 Wall, ceilings, doors, frames and hatches shall be of a solid construction. Internal surfaces shall be smooth and impervious with a light colored finish.

5.5.1.4 Lighting shall be provided with protective covers.

5.5.1.5 Chilling and cold storage facilities shall be fitted with temperature monitoring equipment or suitable temperature monitoring device that is located so as to monitor the warmest part of the room and is fitted with a temperature gauge that is easily readable and accessible.

5.5.1.6 Chill and cold storage loading dock areas shall be appropriately sealed, drained and graded.

Note: Clause 5.5.1 is specific to the growing and harvesting of all produce and aquaculture operations.

5.5.2 Dry Storage

5.5.2.1 Silo’s and other un-refrigerated storage facilities shall be constructed of approved materials and designed to maintain dry goods in an acceptable condition, enable safe fumigation practices and prevent the invasion of pests.

5.5.3 Storage of Packaging

5.5.3.1 Packaging storage facilities shall be constructed and designed to maintain packaging dry, clean and free from any dirt or residues so it remains fit for the purpose. Particular care shall be taken to prevent packaging becoming a harborage for rats, mice or other vermin. Packaging shall be stored separately from farm machinery and hazardous chemicals and toxic substances.

5.5.4 Storage of Utensils

5.5.4.1 Storage rooms shall be designed and constructed to allow for the separate, hygienic storage of harvesting and packing utensils away from farm machinery and hazardous chemicals and toxic substances.

5.5.5 Farm Machinery, Conveyors, Harvesting and Processing Rigs Construction and Storage

5.5.5.1 Product contact surfaces on conveyors, harvesting and processing rigs shall be designed and constructed to allow for the efficient handling of product and those surfaces in direct contact with product shall be constructed of materials that will not contribute a food safety risk.

5.5.5.2 Processing aids including knives, totes, trays, conveyors, containers and other equipment shall be constructed of materials that are non-toxic, smooth, impervious and easily cleaned.

5.5.5.3 Provision shall be made for the washing and storage of processing rigs, equipment, conveyors, totes, trays containers and utensils.

5.5.5.4 Provision shall be made to store farm machinery separate from food conveyors, harvesting and processing rigs.

5.5.6 Storage of Hazardous Chemicals, Toxic Substances, Animal Medicines and Petroleum Products

5.5.6.1 Hazardous chemicals, toxic substances, animal medicines and petroleum products shall be stored so as not to present a hazard to employees, product, product handling equipment or areas in which product is handled, stored or transported.

5.5.6.2 Product contact chemicals such as pesticides and herbicides; rodenticides, fumigants and insecticides; sanitizers and detergents; shall be stored separately and in their original containers.

5.5.6.3 Chemical storage sheds shall: i. Be compliant with national and local legislation and designed such that there is no cross-

contamination between chemicals; ii. Be ventilated to the exterior; iii. Be provided with appropriate signage indicating the area is a hazardous storage area; iv. Be secure and lockable to restrict access only to those personnel with formal training in the

handling and use of chemicals; v. Have instructions on the safe handling of hazardous chemicals readily accessible to

employees; vi. Be equipped with a detailed and up-to-date inventory of all chemicals contained in the

storage facility; vii. Have suitable first aid equipment and protective clothing available in the storage area; viii. Have emergency shower and/or wash facilities available in the event of an accidental spill;

and ix. In the event of a hazardous spill, be designed such that spillage and drainage from the area

is contained; and x. Be equipped with spillage kits and cleaning equipment.

5.5.6.4 Animal medicines shall be stored under refrigerated conditions in accordance with the manufacturer’s instructions. The equipment shall be lockable, located under secure conditions and equipped with a detailed and up to date inventory of all animal medicines contained in the storage facility.




23

5.5.6.5 Petroleum fuels, oils, grease and other lubricants shall be stored separate from other storage areas.

Note: The storage of hazardous chemicals, toxic substances and petroleum products in areas (separate lockable or otherwise contained) inside food handling areas, product and ingredient and packaging storage rooms is not acceptable.

5.5.7 Use and Storage of Fertilizers (*Soil Amendments)

5.5.7.1 Inorganic (chemical) and organic (manure) soil amendments shall be isolated and stored separately so as not to pose a food safety risk.

5.5.7.2 Provision shall be made for the storage of concentrated and diluted liquid soil amendments in tanks designed to retain at least 110% of total volume.

5.5.7.3 Soil amendments shall be stored separate from crop, field or irrigation water sources such that contamination from run off is avoided either by locating of the soil amendment a suitable distance from the crop or by the utilization of other physical barriers.

5.5.7.4 An inventory of all organic and inorganic soil amendment storage and use shall be maintained.

*The term Soil Amendment is a term used to cover all forms of organic and inorganic fertilizer.

5.6 Animal Handling Facilities 5.6.1 Pens and Yards

5.6.1.1 Pens and yards shall be designed, located, constructed and maintained so as to minimize stress, injury or disease and have minimal impact on the surrounding area and natural resources.

5.6.1.2 Where animals are held for extended periods in pens and yards adequate supplies of water and fodder shall be provided.

5.6.2 Intensive Housing Systems

5.6.2.1 The design, location and construction of intensive housing systems shall be designed for the purpose, protect the animals in expected extremes of climate, provide sufficient space to enable the animals to lie down and allow freedom of movement and have minimal impact on the surrounding area and natural resources.

5.6.2.2 Intensive housing systems shall be adequately ventilated to promote a satisfactory living environment and designed to enable effective drainage and a firm footing.

5.6.2.3 Provision shall be made for sufficient supplies of water and fodder and for cleaning and waste removal.

5.6.3 Laneways, Races, Entrances, Exits and Loading/Unloading Ramps

5.6.3.1 Laneways, races, entrances, exits and loading/unloading ramps shall be designed to take advantage of the social behavior and movement patterns of the species and be designed and maintained to prevent any potential injury points to animals.

5.7 Pack house and Field Sheds

Note: SQF 1000 is applicable to growers / shippers / packers who are packing their own product or a small number of closely associated growers. If the primary activity is packing and product is obtained from other growers and is packed, the packing facility is considered a commercial pack house and would be applicable to SQF 1000. Any processing of produce (cutting, slicing, dicing, peeling, etc.) would be applicable to SQF 1000. 5.7.1 Product Protection

5.7.1.1 Pack house facilities and/or field sheds shall be designed, located, constructed and maintained so as to minimize damage and/or contamination to incoming produce.

5.7.1.2 Pack house requirements

5.7.1.2.1 Doors, windows and loading docks must remain closed when not in use. Seals around exterior openings must be rodent and pest-proof.

5.7.1.2.2 Dock doors must have protection to prevent contamination from exterior pests.

5.7.1.2.3 Overhead lighting must be shielded and provide adequate lighting to the work area.

5.7.1.2.4 Floors, walls and ceilings must be constructed of a non-porous material that can be cleaned and sanitized.

5.7.1.2.5 Drains must be located properly. Floors must be sloped toward the drain. Pallets of product and/or packaging may not be stored on top of a drain.

5.7.1.3 Storage areas for packaging materials, product and incoming materials must be adequate to protect the product from contamination.

5.7.1.4 Exterior areas of the shed and pack house must be maintained free of litter and weeds. Trash storage units must adequately contain the waste and be removed at appropriate intervals. Equipment, parts and pallets may not be stored next to or against the exterior walls of the facility.




24

5.7.1.5 Water used in the packing shed or field to wash produce must be potable. Water potability test results must be reviewed and kept on file by the SQF Practitioner.

5.7.1.6 Hand wash stations must be available to all employees working in a pack house or field packing environment. If packing is performed in a building or structure, hand wash stations must be located where employees enter and exit the work area.

5.7.1.7 Trash removed from field packing operations must be transported out of the field in a separate vehicle. Trash may not come in contact with cases of fresh produce.

5.7.2 Employee Practices

5.7.2.1 Employees working in the Pack house must comply with the personal hygiene and good manufacturing requirements outlined in section 6.1.

5.7.2.2 Appropriate signage must be posted near entrances, hand washing stations, restrooms and break areas reminding employees to comply with Good Manufacturing Practices.

5.7.2.3 Employees must have a designated area for storage of personal belongings. The area must not be on or next to product or product contact surfaces.

5.7.2.4 Employee break areas must be separate from the packing area. If the produce is field packed, employees must take break outside the immediate growing area.

5.7.3 Tools

5.7.3.1 Knives and tools used to trim fresh produce must be designated for that purpose.

5.7.3.2 Knives and tools coming in contact with the produce surface and/or product contact equipment must be cleaned and sanitized at a scheduled frequency. Documentation of the cleaning process and sanitizer concentration must be available for review.

5.7.3.3 Knives and tools may not be taken to the employee’s car or home during breaks. They may not be stored with an employee’s personal possessions during harvesting.

5.7.3.4 Knives and tools must be inspected and accounted for before and after each packing date for missing and chipped pieces of metal. Knives with snap off blades are not permitted in processing or packing areas. Knives and tools must be placed in a suitable container of sanitizer during breaks and when toilets are used. Knives cannot be worn while on breaks or when using the toilet facility.

5.7.3.5 Tools used by Maintenance personnel must be clean, sanitary and corrosion-free. If a tool holster is used the holster must be cleanable and able to be placed in the sanitizer solution container.

5.7.4 Equipment

5.7.4.1 Conveyors, flumes, sorting tables and other product contact equipment must be designed and constructed of materials that are approved for use in a food production facility. The contact surface must not have flaking paint that could contaminate the produce.

5.7.4.2 Lubricants used on or near product contact equipment must be food grade and not made of allergenic ingredients unless addressed in an allergen management program. Excess lubricant must be removed prior to packing produce.

5.7.4.3 Food contact equipment must be included in a regularly scheduled maintenance plan.

5.7.4.4 Scales used in the field or packing shed must be calibrated on scheduled basis. Documented results of the calibration must be available for review.

5.7.4.5 Automatic injection equipment of water sanitizers (i.e. Chlorine, Chlorine Dioxide, Peracetic Acid, etc) must be calibrated and verified on a scheduled basis.

5.7.4.6 Hydrocoolers, if used, must be included in a Preventive Maintenance schedule.

5.7.5 Monitoring

5.7.5.1 The site must maintain documentation of the field and quadrant harvested. Appropriate documentation of the grower and field must be identified on the packed cases of fresh produce. If produce is delivered from the field to a packing shed for washing, sorting and repacking, the grower and field information must appear on the master container of the final product.

5.7.5.2 Flume water treated with chemicals (i.e. Chlorine, Chlorine Dioxide, Peracetic Acid) must be monitored on a pre-determined basis to verify compliance with the target range. Monitoring may include pH, ppm, ORP and/or temperature.

5.7.5.3 If temperature is monitored, the site must use a calibrated probe to verify the temperature. Calibration records must be maintained for all thermometers used by the site.

5.7.5.4 Temperature controlled staging and/or storage areas must be monitored by the site. Results must be documented

5.7.5.5 The site must ship product using FIFO methods

5.7.6 Sanitation

5.7.6.1 Food contact equipment surfaces must be cleaned and sanitized on a daily basis during the packing season. The site must also maintain a schedule of tasks completed at frequencies other than daily.




25

5.7.6.2 The site must have documented verification of completed sanitation tasks.

5.7.6.3 Chemicals used to clean and sanitize the equipment must be approved for use in a food processing environment.

5.7.6.4 Designated tools must be used to clean and sanitize the food product contact surfaces. They must be non-porous or single use and have a designated storage location.

5.7.6.5 Cleaners and sanitizers must be stored in a secure, locked area away from water treatment chemicals.




26

6. Food Safety Fundamentals: Pre-requisite Programs (Good

Agriculture Practice)

Pre-requisite Programs covering a product and its growing / packing shall be documented and implemented.

Note: Pre-requisite programs such as Good Agriculture Practice, Good Agriculture Sanitary Practice, Better Aquaculture Practice and Better Animal Husbandry Practice are applied to cover plant growing / packing, animal grow out and aquaculture practice and fishery operations.

Note: Exclusions to these requirements or alternative methods of control are permitted however they are to be supported by a detailed risk analysis outlining the basis for any exclusion or alternative control measure to demonstrate food safety and quality (level 3) is not compromised.

6.1 Personnel Practices 6.1.1 Personnel

6.1.1.1 Personnel engaged in the handling of product shall observe appropriate personal practices.

6.1.1.2 Personnel suffering from, or are carriers of, an infectious disease which can be carried with food as a vehicle shall not engage in growing or product handling or field processing operation. A medical screening procedure shall be in place, which will be applicable to all visitors and contractors as well.

6.1.1.3 Personnel with exposed cuts, sores or lesions shall not be engaged in handling or processing product. Minor cuts or abrasions on exposed parts of the body shall be covered with a suitable waterproof dressing.

6.1.1.4 Smoking, chewing, eating, drinking or spitting is not permitted in any growing areas including on field processing rigs and during harvesting and packing operations.

6.1.1.5 Personnel shall have clean hands and hands shall be washed by all personnel: i. Before handling product; ii. After each visit to a toilet; iii. After using a handkerchief; iv. After handling dirty or contaminated material; and v. After smoking, eating or drinking.

6.1.1.6 If rubber or disposable gloves are used, personnel shall adhere to the hand washing practices outlined above.

6.1.1.7 Children and infants shall not be permitted to enter any packing or storage areas and must be supervised at all times when in fields.

6.1.2 Protective Clothing

6.1.2.1 Protective clothing shall be effectively, maintained, stored, laundered and worn so as to protect product from risk of contamination.

6.1.3 Jewelry and Personal Effects

6.1.3.1 Jewelry and other loose objects shall not be worn or taken onto any growing, product handling or storage operations.

6.1.4 Visitors

6.1.4.1 All visitors (including management and maintenance employees) shall be required to remove jewelry and other loose objects and wear suitable protective clothing.

6.1.4.2 Visitors exhibiting visible signs of illness shall be prevented from entering any growing or product handling or field processing operation.

6.1.4.3 Visitors must follow all personnel practices as designated by company for employees within various areas of fields, sheds, packing facilities or storage locations.

6.2 Personnel Processing Practices 6.2.1 Packing Employees

6.2.1.1 Appropriate personnel processing practices shall be employed by Packing Employees which includes;

i. Fingernail polish shall not be permitted where product is handled with bare hands;

ii. Aprons and gloves shall be kept clean;

iii. Aprons and gloves shall not be left on product, work surfaces, equipment or packaging material but hung on apron and glove racks provided;

iv. All product and packaging material shall be kept off the ground and the floor of the transport vehicle;




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v. Waste shall be contained in the bins identified for this purpose. Waste shall be removed on a regular basis and not left to accumulate.

6.3 Training 6.3.1 Training Requirements

6.3.1.1 Appropriate training shall be provided for personnel carrying out the tasks critical to the effective implementation of the SQF 1000 System and the maintenance of food safety.

6.3.1.2 An Employee Training Program shall be documented and implemented. It shall include reference to training methods applied for those employees involved in:

i. Developing and applying Good Agriculture Practices; ii. Developing and maintaining Food Safety Plans through the application of the HACCP Method;

and iii. Applying food regulation and other instructions critical to effective implementation and

maintenance of the SQF 1000 System.

6.3.1.3 A training skills register describing who has been trained in relevant skills shall be maintained.

6.4 Pest and Vermin Control 6.4.1 Pest and Vermin Control Protocol

6.4.1.1 The methods for controlling pest and vermin infestation on the site or facilities shall be documented and implemented. The property, storage facilities, machinery and equipment shall be kept free of waste or accumulated debris so as not to attract pests and vermin. 6.4.2 Pest and Vermin Management Program

6.4.2.1 The pest and vermin management program shall: i. Describe the methods and responsibility for the development, implementation and

maintenance of the pest and vermin management program; ii. Identify the target pests for each pesticide application; iii. Outline the methods used to prevent pest problems; iv. Outline the methods used to eliminate pests when found; v. Outline the frequency with which pest status is to be checked; vi. Include on a site map the identification, location, number and type of bait stations set; vii. List the chemicals used (they are required to be approved by the relevant authority and their

Material Safety Data Sheets (MSDS) made available); viii. Outline the methods used to make employees aware of the bait control program and the

measures to take when they come in contact with a bait station; and ix. Outline the requirements for employees awareness and training in the use of pest and

vermin control chemicals and baits.

6.5 Building and Equipment Maintenance 6.5.1 Maintenance Protocol

6.5.1.1 The methods and responsibility for maintenance of equipment and buildings shall be planned, scheduled and carried out in a manner that prevents any risk of contamination of product or equipment.

6.5.2 Lubricant Trays

6.5.2.1 Tractors, harvesters, field packing equipment and machinery driven over crop shall be fitted with drip trays to prevent contamination of the crop by lubricants and oils.

6.6 Waste Disposal 6.6.1 Dry, Liquid and Unsanitary Waste Disposal

6.6.1.1 Waste shall be regularly removed from the farm, field, packing facility and the surrounds so as not to pose a food safety risk to finished product or growing, harvesting and packing operations.

6.6.1.2 The responsibility and methods for the effective and efficient disposal of all solid waste including inedible material and disused packaging, and liquid and unsanitary waste shall be documented and implemented.

6.7 Calibration of Equipment 6.7.1 Calibration Protocol




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6.7.1.1 The methods and responsibility for the calibration and re-calibration of chemical application, measuring, test and inspection equipment used for monitoring Pre-requisite Program and other process controls shall be documented and implemented.

6.7.1.2 Equipment shall be calibrated against national or international reference standards and methods. In cases where such standards are not available the Producer shall indicate and provide evidence to support the calibration reference method applied

6.7.1.3 Calibration shall be undertaken to an established schedule, to recognized standards or to accuracy appropriate to use.

6.7.1.4 Calibration records shall be maintained.

6.8 Cleaning and Sanitation Program 6.8.1 Cleaning and Sanitation Protocol

6.8.1.1 The methods and responsibility for the cleaning of product contact surfaces, field processing equipment and sanitary facilities shall be documented and implemented. Consideration shall be given to:

i. What is to be cleaned; ii. How it is to be cleaned; iii. When it is to be cleaned; and iv. Who is responsible for the cleaning and the evaluation of the cleaning.

6.8.2 Verifying the Effectiveness of Cleaning

6.8.2.1 A verification schedule shall be prepared indicating the frequency of verifying the effectiveness the cleaning of product contact surfaces, field processing equipment and sanitary facilities and indicating who is responsible for completing verification activities.

6.9 Water Quality 6.9.1 Standard

6.9.1.1 Water used for washing and treating product, cleaning food contact surfaces and mixing sanitizer solutions shall comply with potable water microbiological standards in the country of production. Separate criteria will be established for irrigation water, frost control, humidifying, pesticide application, etc. as applicable, based on the hazard analysis, best practices within country of production and any application legislation, if applicable.

6.9.2 Monitoring Water Microbiology and Quality

6.9.2.1 Water quality shall be monitored to verify it complies with the established water microbiological standard or criteria established. A verification schedule shall be prepared indicating the location and frequency of monitoring, which shall be decided by the hazard analysis, best practices within country of production, or applicable legislation.

6.9.3 Corrective Actions

6.9.3.1 When monitoring shows that water does not meet established criteria or standard, producer will have a corrective action plan developed which could include additional treatment for water, additional sources for water, product identification and disposition or other alternative actions to adequately control the identified hazards.

6.9.4 Ice

6.9.4.1 Ice shall be made from potable water. Producer will verify that any ice used is made from potable water.

6.10 Foreign Matter and Glass Control 6.10.1 Foreign Matter and Glass Protocol

6.10.1.1 The methods used to prevent foreign matter and glass contamination of product shall be documented and implemented.

6.10.1.2 Containers, equipment and other utensils made of glass, porcelain, ceramics, brittle plastic or other like material shall not be permitted where exposed product is handled unless an effective foreign material and glass protocol is documented and implemented.

6.10.1.3 Regular inspections shall be conducted to ensure food handling/contact zones areas are free of glass and brittle plastic and employees is to be made aware of their responsibility to adhere to the company Foreign Matter and Glass Protocol.

6.10.1.4 Glass covered instrument dial covers shall be checked at the start and finish of each shift to ensure their covers have not been damaged.

6.11 Supplier Approval




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6.11.1 Selecting and Approving Suppliers

6.11.1.1 The responsibility and methods for selecting, evaluating, approving and monitoring an Approved Supplier shall be documented and implemented. A register of Approved Suppliers and records of inspections and audits of Approved Suppliers shall be maintained.

6.11.2 Approved Supplier Program

6.11.2.1 The Approved Supplier Program shall contain as a minimum:

i. Agreed specifications; ii. A summary of the food safety and quality controls implemented by the Approved Supplier; iii. Methods and frequency of monitoring Approved Suppliers; iv. Details of the certificates of analysis if required; v. A contingency plan for dealing with emergency/unforeseen situations when a raw material

cannot be sourced from an Approved Supplier ; and vi. Methods and frequency of reviewing Approved Supplier performance and status.

6.11.3 Monitoring Approved Suppliers

6.11.3.1 The monitoring of Approved Suppliers shall be based on the prior good performance of a supplier and the risk level of the raw materials supplied.

Note: The monitoring and assessment of Approved Suppliers can include:

i. The inspection of raw materials received; ii. The provision of certificates of analysis; iii. Third party certification of an Approved Supplier; or iv. The completion of 2nd party supplier audits.

6.11.4 Register

6.11.4.1 A register of Approved Suppliers shall be maintained.

6.11.5 Records

6.11.5.1 Records of inspections and audits of Approved Suppliers shall be maintained.

6.12 Transport and Delivery

6.12.1 Loading, Transport and Unloading Practices

6.12.1.1 The practices applied during loading, transport and unloading of animals and crop shall be documented, implemented and designed to maintain appropriate storage conditions and product integrity.

6.12.1.2 Animal loading, transport and unloading practices shall be designed to limit stress, illness or injury to animals during loading, transport and unloading events.

6.12.1.3 Crop shall be transported under conditions suitable to maintain integrity and to prevent cross contamination and spoilage.

6.12.1.4 Employees involved in loading, transport and unloading events shall be appropriately trained.

6.13 Purchase and Use of *Soil Amendments 6.13.1 Soil Amendment Protocol

6.13.1.1 No raw untreated manure shall be used. Soil amendment treatment and application methods shall be documented and implemented and designed to prevent contamination of product. A soil amendment protocol shall outline:

6.13.1.2 The methods used to treat manure and other untreated organic fertilizers ensuring:

i. The treatment methods applied inactivate pathogens in organic soil amendments; ii. A hazard analysis of organic soil amendments treatment methods is conducted before use; iii. Treatment methods are validated and treatments of organic soil amendments are verified as

being in compliance with the method applied; iv. Records of the validation and verification of organic soil amendment treatments are

maintained.

6.13.1.3 The methods to ensure organic soil amendment applications are timed to pose minimum risk to product safety and human health including:

i. All applications of soil amendments are in accordance with National or Local Guidelines, Best Practices and Codes of Good Agricultural Practice;

ii. Equipment used for soil amendment application is maintained in good condition and calibrated to ensure accurate application;

iii. Records of all equipment maintenance and calibration are maintained; iv. Signage complies with National & Local Codes of Practice; and v. Sufficient data is recorded to provide a detailed record of soil amendment applications.

Note*: Soil Amendment is a term covering all forms of organic and inorganic fertilizer.




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6.14 Purchase and Use of Chemical Applications 6.14.1 Purchasing Chemicals

6.14.1.1 Chemicals shall be purchased from an Approved Supplier in accordance with applicable legislation. An inventory of all chemicals purchased and used shall be maintained.

6.14.2 Application of Chemicals

6.14.2.1 A crop protection action plan indicating the applications used for a target pest or disease and the threshold levels that initiate application shall be prepared and implemented.

6.14.2.2 The person making decisions on chemical application shall: i. Demonstrate knowledge of, and access to, information regarding chemical applications and

the Maximum Residue Levels allowable in destination markets; ii. Use only chemicals approved for use in the intended market; iii. Demonstrate competence and knowledge of chemical application and crop withholding

periods; iv. Ensure crop applications and application rates for target pests and diseases comply with label

recommendations; v. Demonstrate the timing between chemical application and harvest complies with the

approved harvest interval for the chemical applied. vi. Maintain a current chemical register and keep records of all chemicals use.

6.14.2.3 The Producer shall dispose of chemical waste and empty containers in accordance with regulatory requirements and ensure that:

i. Empty chemical containers are not re-used; ii. Empty containers are labeled, isolated and securely stored while awaiting collection; iii. Unused and obsolete chemicals are stored under secure conditions while waiting authorized

disposal by an approved vendor.

6.15 Purchase and Use of Vaccines and Medications 6.15.1 Purchasing Vaccines and Medications

6.15.1.1 Vaccines and medications shall be purchased from an Approved Supplier in accordance with applicable legislation. An inventory of all animal medications purchased and used shall be maintained.

6.15.2 Application of Animal Medicines

6.15.2.1 An animal health plan indicating the use of a vaccine or medication for a target disease shall be prepared and implemented. All vaccines and medicines must be used in accordance to label instructions, including withholding eperiods. Off label use of medications shall be approved by a registered veterinarian.

6.15.2.2 The person making decisions on administering a vaccination medication shall: i. Demonstrate knowledge of, and access to, information regarding medications and the

Maximum Residue Levels allowable in destination markets; ii. Demonstrate competence and knowledge of the various methods of administering

medications and compliance with withholding periods; and iii. Maintain a current medication register and keep records of all medication use.

6.15.2.3 The Producer shall dispose of unused animal medications, empty containers and disposable instruments in accordance with regulatory requirements and ensure that:

i. Empty containers, used needles and disposable instruments are not re-used; and ii. Empty containers, used needles and disposable instruments are isolated and securely stored

while awaiting disposal.

6.16 Animal Husbandry 6.16.1 Animal Husbandry Practice

6.16.1.1 The Producer shall apply good animal husbandry practices for the type of animal under their care and shall ensure that the basic needs of animals, whether held under an extensive grazing, close confinement or intensive housing conditions, are maintained.

6.16.2 Employees Responsibility

6.16.2.1 Employees responsible for the care and management of animals shall be trained and competent to handle animals. They shall be able to recognize the early signs of distress and disease and ensure stress to animals is minimized.

Note: Clause 6.15 and clause 6.16 are specific to animal grow out and aquaculture operations




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7.0 GLOBAL GAP Criteria

Note: This section is only applicable for those primary producers who are undergoing SQF 1000 and GLOBALGAP certification. For SQF 1000 Scope of Certification, this section will be not applicable, unless directed by customer requirements. 7.1 Genetically Modified Organisms

7.1.1 The planting of or trials with GMO’s must comply with all applicable legislation in the country of production. The Producer must have a copy of the legislation applicable in the country of production.

7.1.2 Records of the specific modification and/or unique identifier must be maintained.

7.1.3 Specific husbandry and management advice must be obtained.

7.2 Fertilizer

7.2.1 Applications of all fertilizers, both organic and inorganic, must be recorded. Documents must include the following:

i. Field identification, Orchard or Greenhouse, Geographical area (this also applies to hydroponic situations where fertilizer is used)

ii. Application Date

iii. Trade name of the Fertilizer

iv. Type of Fertilizer

v. Concentration

vi. Quantity Applied

vii. Application Machinery

viii. Operator Name (Note: If the site is a one-man operation – the Producer, and the producer is the one doing the applications, it is acceptable to record the operator details only once.

7.2.2 For all fertilizers, Organic and Inorganic, a stock inventory or record of use must be maintained and available for review. The inventory must be updated at least every 3 months.

7.2.3 A physical barrier must be present in storage locations to prevent cross contamination between fertilizers and plant protection products. Fertilizers applied with Plant Protection products (i.e. micronutrients or foliar fertilizers) are packed in a sealed container it can be stored with plant protection products.

7.2.4 Inorganic fertilizers must be stored in a covered area. The covered area must be sufficient to protect the fertilizer from sunlight, frost and rain. Fertilizer may not be stored directly on the ground, with the exception of Lime and Gypsum, which may be stored for one to two days before spreading.

7.2.5 Fertilizer storage may not pose a risk to water sources and must be surrounded by an impermeable barrier (as per national and local legislation). Consideration, via risk analysis, must be given to the proximity of water courses and flood risks.

7.3 Crop Protection

7.3.1 Crop protection products must be appropriate and can be justified for the pest, disease, weed or target of the plant protection product (PPP) intervention. Technically valid (legal) “off label” uses supported by the PPP industry in writing are allowable. Evidence of the official approval for use of that PPP must be available for review.

7.3.2 Documented, clear procedures and documentation must be available for crop protection. The procedures must include re-entry instructions according to legal requirements. Compliance with re-entry requirements must be demonstrated by the Producer through the documentation of application and harvest date records.

7.3.3 Applications of crop protection and post harvest products must be recorded. Documentation must include the following:

i. Geographical area

ii. Applied location

iii. Product Crop

iv. Invoices of purchased chemicals

v. Target pest, disease or weed

vi. Application Date

vii. Application Method (i.e. Knapsack, High Volume, U.L.V, Irrigation system, Dusting, Fogger, Aerial, etc)

viii. Tradename

ix. Type of Crop Protection

x. Active Ingredient




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xi. Concentration

xii. Quantity

xiii. Machinery used

xiv. Operator details (name, license number)

7.4 Workers Health, Safety and Welfare

7.4.1 Risk Assessment

7.4.1.1 A risk assessment of the working conditions must be conducted to determine risks that would make the environment unsafe and/or unhealthy for the employees. The assessment must be documented and appropriate for conditions on the farm. The risk assessment must be reviewed and updated when changes are made in the organization.

7.4.1.2 The Producer must have a documented health, safety and hygiene policy to address points identified in the risk assessment (see 7.2.1). The policy must include the following:

i. Accident and emergency procedures ii. Hygiene Procedures iii. Strategy to address risks as they arise in the work environment

iv. Review of the policy when the risk assessment changes

7.4.2 Training

7.4.2.1 Workers must receive adequate health and safety training. Training must include items identified in the risk assessment in section 7.2.1. A record must be kept for training activities and attendees. Records must include the topic covered, name of trainer, date and attendees.

7.4.2.2 Employees have the ability to demonstrate competency in their assigned responsibilities through visual observation. If no activities are occurring at the time of inspection, the site must have evidence of the instructions provided to the employees.

7.4.2.3 The site must always have an appropriate number of persons (at least one person) trained in first aid whenever on-farming operations are carried out. Training must have occurred within the last 5 years and be in compliance with the applicable regulations regarding First Aid training.

7.4.2.4 Subcontractors and visitors must be made aware of the on-site personal safety and hygiene rules. Documented evidence must be available verifying that subcontractors and visitors have access to and/or received the relevant instructions. The evidence may be in the form of posted instructions or a signed document. 7.4.3 Hazards and First Aid

7.4.3.1 The Producer must have documented accident and emergency procedures. The procedure must be visually displayed and communicated to all persons associated with the farm activities. Instructions must be available in the predominant language(s) of the workers. Pictograms may be used as needed to communicate the information to the workforce.

7.4.3.2 Documented accident and emergency procedures must include the following (as appropriate): i. Farms map reference (latitude/longitude) and/or address ii. Contact person(s) iii. Location of the nearest means of communication (i.e. Telephone, radio, internet, etc) iv. Up to date list of relevant phone numbers (Police, Ambulance, Fire Department, access to

emergency health care on site or by means of transport, electricity and water suppliers) v. How and where to contact the local medical services (Hospital and other services) vi. Location of the fire extinguisher vii. Emergency exits viii. Emergency cut-offs for electricity, gas and water supplies

ix. Instructions for reporting accidents or dangerous incidents to authorities

7.4.3.3 Potential hazards must be clearly identified by warning signs and placed appropriately around the farm. Permanent, legible signs must be posted at potential hazard locations (i.e. waste pits, fuel tanks, workshops, access doors of the fertilizer storage, plant protection products, or any other chemical storage area)

7.4.3.5 First aid kits must be present at all permanent sites and in the vicinity of field work. The kits must be maintained according to local and national standards and/or recommendations. 7.4.4 Protective Clothing/Equipment

7.4.4.1 Workers, including subcontractors, must be equipped with suitable protective clothing in accordance with legal requirements and/or label instructions or as authorized by a competent authority. Complete sets of clothing must include rubber boots, waterproof clothing, protective overalls, rubber gloves, face masks, etc. Label instructions must be available and the clothing must be in good condition. Additional protective gear may include appropriate respiratory, ear and eye protection devices and life jackets.

7.4.4.2 Protective clothing must be cleaned after use and stored so as to prevent contamination. Cleaning must be per an established schedule and adapted to the type of use and degree of soiling. Cleaning




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procedures for protective clothing include separate washing from private clothing and glove washing before removal.

7.4.4.3 Dirty, torn and damaged protective clothing, equipment and expired cartridges must be disposed of. Single use items must be disposed of following one use.

7.4.4.4 Protective clothing and equipment (including filters) must be stored apart and physically separate from the plant protection products or any other chemicals that could cause contamination. Protective clothing must be stored in a well ventilated area.

7.4.5 Worker Welfare

7.4.5.1 The Producer must have a member of management that is clearly identified (documented) as having the responsibility for ensuring compliance with existing, current and relevant national and local regulations and the implementation of workers health safety and welfare policy.

7.4.5.2 The Producer must have regular two way communication meetings between management and workers to discuss health, safety and welfare concerns. Meetings must be held at least annually. Documentation of the workers concerns must be available for review.

7.4.5.3 Overview information must be recorded and maintained for all employees (seasonal and contractors included) working on the farm. Records must be kept for the last 24 months from the date of first inspection and include the following information:

i. Full name of employee or contractor ii. Date of entry iii. Period of Employment iv. Regular working time v. Overtime regulations

7.4.5.4 Workers must have access to clean food storage areas, designated dining areas, hand washing facilities and drinking water.

7.4.5.5 Employees who live on site must have habitable living quarters that include the basic services and facilities (sound roof, windows, doors, running water, toilets, drains, etc). If the site does not have a sewer system, a septic system is acceptable when proven to be hermetic.

7.4.6 Worker Health Checks

7.4.6.1 Workers who come in contact with plant protection products must be provided with voluntary annual health checks. 7.4.6.2 Health checks provided to workers must comply with National, regional or local regulations and/or codes regarding the use of medical results. The legality of personal data and disclosure must be in compliance at all times.

7.5 Environmental

7.5.1 Soil Erosion

7.5.1.1. The Producer must utilizefield cultivation techniques that reduce the possibility of soil erosion.

7.5.1.2. Farming operations must have visible evidence that there is no soil erosion or evidence of practices such as mulching and/or cross line techniques on slopes and/or drains and/or sowing grass or green fertilizers, trees and bushes on borders of sites, etc.

7.5.2 Irrigation/Fertilization Methods

7.5.2.1 The Producer must have documented justification for the method of irrigation used for the crop. The irrigation system must be the most efficient method for the crop and accepted as good agricultural practice.

7.5.2.2. Water must be extracted from a sustainable source.

7.5.2.3. Where required by law, the site must have a written communication from the local water authority regarding the source. The documentation may be in the form of a license or letter.

7.5.3 Empty Plant Protection Product Containers

7.5.3.1. Empty containers of crop protection materials must be rinsed using either an integrated pressure-rinsing device on the application equipment or at least three times with fresh, potable water. If the site does not have rinse devices installed on the application equipment, they must have written instructions describing how and where to rinse the containers three times. (ref. sec 6.14.2.3)

7.5.3.2. Rinsate from the spent containers must be returned to the application equipment rather than disposed of on the ground. If a container-handling device is not available, the site must have written instructions describing how to return the rinsate to the application equipment.

7.5.4 Environment and Conservation

7.5.4.1. The Producer must have a management of wildlife and conservation plan for the site that acknowledges the impact of farming activities on the environment




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7.5.4.2. The documented wildlife and conservation plan must promote on the enhancement of habitats and increase biodiversity on the farm. The plan may be part of a regional program or specific to the individual farm. 7.5.4.3. The documented wildlife and conservation plan must include the following:

i. Knowledge of IPM practices ii. Nutrient use of Crops

iii. Conservation sites 7.5.5 Plant Protection Product Storage

7.5.5.1. Plant protection products must be stored in a secure, locked area

7.5.5.2. Plant protection products must be stored in a location that is appropriate to the temperature conditions.

7.5.5.3. Storage buildings and/or sheds must be located or constructed from materials that adequately protect the crop protection materials from extreme temperatures.

7.5.5.4. Plant protection products must be stored in a facility that is fire resistant. The minimum resistance requirement for the storage materials is 30 minutes.

7.5.5.5. Plant protection facilities must have or be located in an area that has sufficient natural and artificial lighting to ensure that product labels may be easily read.

7.5.5.6. Crop protection materials must be stored in an area with separate air space, independent of any other materials.

7.5.5.7. Plant protection storage areas must have the ability to retain spillage. Facilities must have retaining tanks or be bunded according to 110% of the volume of the largest container of stored liquid. Leaks and spills may not have the ability to seep outside the storage area.

7.5.5.8. The site must have adequate facilities for measuring and mixing plant protection products.

7.5.5.9. Plant protection storage facilities and/or plant protection product filling/mixing areas have measuring equipment whose graduation for containers and calibration verification for scales have been verified annually by the Producer.

7.5.5.10. Mixing areas must be equipped with the appropriate utensils for the safe and efficient handling of all plant protection products.

7.5.5.11. Plant protection storage facilities must have the ability to handle spills. Mixing areas must be equipped with a container of absorbent, inert material (i.e. sand), floor brush, dust pan and plastic bags for the safe clean-up and removal of spills. Appropriate signage must be posted next to or above the equipment designating it for the purpose of cleaning and removing spillages of plant protection materials.

7.5.5.12. Keys and access points to the plant protection materials must be limited to workers with formal training in the handling of plant protection products. Access to the area is granted only to persons with the ability to demonstrate their formal training in safe handling and use of plant protection products.




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8: Implementing an SQF 1000 System

Contents

8.1 Introduction .................................................................................................................36

8.2 SQF Practitioner ...........................................................................................................36

8.3 Resources .....................................................................................................................37

7.3.1 Training ........................................................................................................................37

7.3.2 Guidance Documents ......................................................................................................37

7.3.3 Self Assessment Checklists ..............................................................................................37

7.3.4 SQF Consultant ..............................................................................................................37

8.4 Certification Levels .......................................................................................................38

8.5 Change of Ownership....................................................................................................38

8.6 Appeals, Complaints and Disputes ................................................................................38

8.7 Certification Performance Survey .................................................................................38




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8. Implementing an SQF 1000 System

8.1 Introduction A Supplier can choose to develop and implement their SQF 1000 System themselves or they can use a SQF Consultant. The SQF 1000 Code requires that the Suppliers SQF 1000 System, including Food Safety Fundamental requirements, Food Safety Plans and Food Quality Plans, be validated and verified by an SQF Practitioner. The Supplier is required to designate a suitably qualified employees member as a SQF Practitioner. Figure 1 Steps to implementing an SQF 1000 System

8.2 SQF Practitioner

8.2.1 The SQF Practitioner is an individual, designated by a Supplier who is responsible for the validation and verification of the Suppliers own SQF 1000 System. The SQF Practitioner details shall be verified by the SQF Auditor at each Audit as meeting the following requirements:

i. Be employed by the Supplier as a permanent company employee and hold a position of responsibility in relation to the management of the Suppliers SQF 1000 System;

ii. Have completed a HACCP Training Course and be experienced and competent to implement and maintain HACCP based Food Safety Plans; and

iii. Have an understanding of the SQF 1000 Code and the requirements to implement and maintain SQF 1000 Systems relevant to the Suppliers Scope of Certification.

Note: Successful completion of the on-line “Implementing SQF 1000 Systems Training Course Exam”

would meet the requirement outlined in 8.2.1 iii.www.sqfi.com

Table 1 outlines the information to be provided when designating an SQF Practitioner.

Document system

SAY WHAT YOU DO

Complete SQF System Training

(If requi red)

Obtain a copy of the SQF 1000 Code < www.sqfi.com >

Implement and validate your system

DO WHAT YOU SAY

Conduct a self assessment (Gap Analysis) to determine what needs to be done

Review and amend your system if necessary

Conduct a pre - assessment audit

Designate a competent employees person as the SQF Practitioner or hire a SQF Consultant

Select Certification Body to perform the Audit < www.sqfi.com >

PROVE IT




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Table 1 SQF Practitioner details

8.3 Resources

8.3.1 Training

The SQFI makes available an Implementing SQF 1000 Systems Training Course through its network of licensed training centers. These institutions are recognized as a food safety training centre of excellence. Their trainers have extensive knowledge of the food industry as well as a sound knowledge of how to implement an SQF system. Those responsible for designing, implementing and maintaining their SQF system are encouraged to participate in a training course that is made available in various locations. Details of the training centers and the countries in which they operate are available at www.sqfi.com. The dates and locations of the courses can be obtained by contacting the training centers through this web link.

The SQFI also makes available an Implementing SQF 1000 Systems e’ learning Training Course via www.sqfi.com. The online training solution is a web based education portal where employees will be able to enroll and complete SQF 1000 Systems training in their own time and at their own pace.

Training in other food industry disciplines, such as HACCP, may also be required and the training centers can provide details of other training courses they provide.

8.3.2 Guidance Documents

The SQFI will prepare and release guidance documents to help Suppliers with their interpretation of the requirements of the SQF 1000 Code and assist with documenting and implementing their SQF 1000 System.

The SQF Institute will release guidance for various industry sectors as required. The General Food Processing Guidance document outlines guidance to cover most food processing operations and can be used where no specific industry sector guidance is available.

The Guidance documents are available at www.sqfi.com.

8.3.3 Self Assessment Checklists

In addition to the SQF 1000 training and the guidance documents provided the SQFI provides a self assessment checklist that Suppliers can use to determine what systems and procedures they already in place and establish the gap (if any) between what already exists and what needs to be developed to meet the SQF requirements.

The Self Assessment Checklist is available at www.sqfi.com.

8.3.4 SQF Consultant

8.3.4.1 A Supplier can engage the services of an SQF Consultant to assist with the design, development, implementation, validation and verification of their SQF System. All SQF Consultants are registered by the SQFI to work in specific Food Sector Categories. They are issued with an identity card indicating the Food Sector Categories in which they are registered and Suppliers are encouraged to confirm a SQF Consultant’s registration details at www.sqfi.com before engaging their services. The criteria outlining the requirements necessary to qualify as a SQF Consultant and the application forms are available at www.sqfi.com.

Figure 2 Example SQF Consultant ID card

1 SQF Practitioner name

2 Position title

3 Company name

4 Company site address

5 Individual’s e-mail address

6 Details of HACCP training and experience

7 Evidence of Knowledge of SQF 1000 Systems Requirements

SQF Practitioner Details

Reg. No Expiry Date Licensed Since

00000 7 Nov. 2008 7 Nov. 1999

Food Sector Categories 3, 4, 14, 25

1st Name Surname

JOHN SMITH

Address 35 Plum Tree Rd.

Vienna. VA

USA

SQF CONSULTANT

EXA

MPLE

ON

LY

EXA

MPLE

ON

LYReg. No Expiry Date Licensed Since

00000 7 Nov. 2008 7 Nov. 1999


1st Name Surname

JOHN SMITH


Vienna. VA

USA

SQF CONSULTANTReg. No Expiry Date Licensed Since

00000 7 Nov. 2008 7 Nov. 1999


1st Name Surname

JOHN SMITH


Vienna. VA

USA

SQF CONSULTANT

EXA

MPLE

ON

LY

EXA

MPLE

ON

LY




38

8.3.4.2 An “SQF Consultant Code of Practice” outlines the practices expected of SQF Consultants and to assist SQF Consultants in the delivery of their services. A copy of the Code of Practice and a list of SQF Consultants are available on the SQFI web site. It is a Supplier’s responsibility to exercise appropriate due diligence when selecting and engaging the services of an SQF Consultant.

8.4 Certification Levels 8.4.1 The Supplier can choose between three levels of Certification. Each level is designed to indicate the stage of development of a Supplier’s food safety and quality management system. It is advisable that the Supplier choose a level that is acceptable to its customer and which in line with food regulatory requirements. The attainment of a particular level indicates the stage of development of the Supplier’s SQF 1000 System. The three levels of Certification are:

Level 1 Food Safety Fundamentals: Indicates that Pre-requisite Programs and fundamental food safety controls have been implemented to provide a sound foundation for the further development of the Supplier’s management system.

Level 2 Certified HACCP Based Food Safety Plans: Incorporates all Level 1 system requirements and indicates that a food safety risk analysis of the crop, its production and harvest has been completed to identify the hazards and the action taken to eliminate, prevent or reduce their occurrence.

Level 3 Comprehensive Food Safety and Quality Management System: Incorporates all Level 1 and Level 2 system requirements and indicates that a food quality risk analysis of the product and its associated process has been completed, that the actions taken to prevent the incidence of poor quality have been implemented and the remaining quality management system procedures have been implemented.

8.5 Change of Ownership

8.5.1 Where a Certified Supplier’s sells their business and the new owner wishes to retain the business name and continue with SQF Certification the new owner, within thirty days of the change of ownership, is required to apply to a Certification Body to retain the SQF Certification and the existing Certification Number. In such cases the Certification Body is required complete a Certification Audit.

8.5.2 Suppliers are encouraged to contact a Licensed Certification Body who will provide more detail on the conditions relating to a change of ownership.

8.6 Appeals, Complaints and Disputes

8.6.1 Where a Supplier has cause to register a complaint about a Certification Bodies activities, or appeal or dispute a decision made by a Certification Body, including the activities and decisions of its Auditors, the Certification Body is required to investigate and resolve these matters without delay and keep a record of all complaints, appeals and disputes and their resolution

8.6.2 Where a Certification Body receives a complaint about a Supplier from other parties the Certification Body is required to investigate and resolve the matter without delay and keep a record of all complaints, appeals and disputes and their resolution.

8.6.3 Where after investigation of a complaint outlined in 8.6.2 it is determined that there has been a substantiated breach of the Suppliers Scope of Certification or breakdown of a Supplier’s SQF System or any other condition not in accordance with the SQF 1000 Code and/or other supporting documents the Certification Body shall implement action outlined in Section 9 – 9.18.3/4.

8.7 Certification Performance Survey

8.7.1 Once an SQF Audit is completed, the SQFI will email to the Supplier a survey designed to capture and record their impression of the service provided by the SQF Consultant, the Auditor, the Audit process and the service provided by the Certification Body. The SQF Institute will evaluate the data received to improve the SQF Program, and provide feedback to Consultants, Auditors and Certification Body’s as required.




39

9. Principles & Application of HACCP

Table 1 A description of the 12 HACCP steps that comprise the HACCP Method

(Adapted from Codex Alimentations Commission – Recommended International Code of Practice General Principles of Food Hygiene, CAC/RCP

1-1969, Rev. 4-2003)

Preliminary Steps 1. Assemble HACCP team with expertise in product and

processes

2. Describe product

3. Identify intended use

4. Construct flow diagram

5. Confirm flow diagram against process in operation (or

planned process)

HACCP Principle HACCP Application

1 Conduct a hazard analysis 6. List all potential hazards associated with each step and

consider any measures to control identified hazards

2 Determine Critical Control Points

(CCPs)

7. Determine CCPs

3 Establish critical limit(s) 8. Establish critical limits and tolerance levels. Determine at

what point critical limit is exceeded based on known limits

or risk assessment if unknown

4 Establish system to monitor control of

CCP(s)

9. Establish a monitoring system for CCP that is able to detect

loss of control i.e. when critical limits are exceeded.

Consider continuous monitoring and/or periodic audit

5 Establish Corrective Action to be taken

when monitoring indicates CCP(s) are

not under control

10. Establish Corrective Actions that are able to deal with loss

of control when it occurs and is capable of determining

when CCP has been brought under control

6 Establish procedures for verification to

confirm that the HACCP system is

working effectively

11. Establish procedures for verification or audit that include

review of HACCP system and records, records of deviations

and actions taken in order to confirm that CCPs are kept

under control

7 Establish documentation covering all

procedures and records appropriate to

these principles and their application

12. Documentation and record keeping should be appropriate to

the nature and scale of the operation




40

Section 10: Certifying SQF 1000 Systems

Contents

10.1 Introduction .................................................................................................................41

10.2 Requirements for Accreditation Body’s.........................................................................41

10.3 Requirements for Certification Body’s ..........................................................................41

10.4 Appointing the Certification Body .................................................................................41

10.5 Changing the Certification Body ...................................................................................42

10.6 Scope of Certification....................................................................................................42

10.7 Changing the Scope of Certification..............................................................................42

10.8 Identifying the Scope of the Audit ................................................................................42

10.9 Requirements for SQF Auditors.....................................................................................42

10.10 Rotation of Auditors......................................................................................................42

10.11 Technical Experts..........................................................................................................43

10.12 Language......................................................................................................................43

10.13 Conflict of Interest .......................................................................................................43

10.14 The Certification Process ..............................................................................................43

10.15 Time Taken to Conduct the SQF Audit...........................................................................45

10.16 The Audit Report...........................................................................................................46

10.16.1 Introduction ...............................................................................................................46

10.16.2 Guidelines..................................................................................................................46

10.17 Non-conformance .........................................................................................................46

10.17.1 Minor Non-conformance ...............................................................................................46

10.17.2 Major Non-conformance ...............................................................................................47

10.17.3 Critical Non-conformance .............................................................................................47

10.18 Decisions on Certification .............................................................................................47

10.18.1 Granting Certification...................................................................................................47

10.18.2 Maintaining Certification...............................................................................................47

10.18.3 Suspending Certification...............................................................................................47

10.18.4 Withdrawing Certification .............................................................................................48

10.19 SQF 1000 Audit Frequency............................................................................................48

10.19.1 General Requirements .................................................................................................48

10.19.2 Seasonal Conditions ....................................................................................................48

10.19.3 Audit Frequency..........................................................................................................49




41

10. Certifying SQF 1000 Systems

10.1 Introduction 10.1.1 Certification of a SQF 1000 System is conducted by Certification Body’s (also known as Inspection Companies or Registrars) licensed by the SQF Institute and accredited under international accreditation norms. The SQFI has prepared a document, “SQFI Guidance on the Application of ISO/IEC Guide 65:1996 General Requirements for Certification Body’s for Certification of SQF Systems” to outline the requirements that SQF Certification Body’s must comply with. Figure 3 A description of the application of international accreditation and certification norms and the relationships between the parties involved.

Audits the Supplier

Accreditation Bodies ISO/IEC 17011

Certification BodiesISO/IEC Guide 65

SQF Criteria for Certification Bodies

International Accreditation Forum (IAF) Comprised of National

Accreditation Bodies

Accredits the Certification Body (CB) IncludingWitness Audits of SQF Auditor Activity

Peer Review by Sister Accreditation Body

Supplier Supplier Supplier Supplier SQF 1000 System

10.2 Requirements for Accreditation Body’s

10.2.1 Accreditation Body’s are licensed by the SQF Institute. They are required to maintain Accreditation in compliance with the international standard ISO/IEC 17011. Accreditation Body’s shall assess the activities and procedures of the SQF Certification Body to ensure they are in compliance with ISO/IEC Guide 65 and the SQF Criteria for Certification Body’s.

10.3 Requirements for Certification Body’s

10.3.1 Certification Body’s are licensed by the SQF Institute to conduct the SQF audit and issue the SQF certification. They are required to use SQF auditors who are registered by the SQF Institute. A list of Licensed Certification Body’s is available at www.sqfi.com.

10.3.2 Certification Body’s shall be Accredited to the international standard ISO/IEC Guide 65 and be subject to regular assessments of their certification and audit activities by SQFI licensed Accreditation Body’s. Assessments are conducted at the head office of the Certification Body and it’s Key Locations at least annually.

10.3.3 The service provided by Certification Body’s in countries aligned to a Key Locations is also subject to assessment.

10.3.4 When conducting Assessments of a Certification Body’s activity the Accreditation Body is required to complete witness assessments of selected SQF Auditors.

10.3.5 The Certification Body is required to ensure that their auditors shall not audit SQF Systems that relate to or include Food Industry Categories that the Auditor is not registered to Audit.

10.4 Appointing the Certification Body

10.4.1 A Supplier is required to have a Certification Body appointed at all times.




42

10.4.2 A contract shall exist between the Supplier and the Certification Body outlining the conditions under which the SQF Audit and Certification service is provided. The contract shall include as a minimum:

i. The scope of the audit and expected time to conduct and finalize the audit and the reporting requirements;

ii. The Certification Body’s fee structure; iii. The conditions under which the SQF Certificate be issued, withdrawn or suspended; and iv. The Certification Body’s appeals, complaints and disputes procedure.

10.5 Changing the Certification Body

10.5.1 A Supplier can change its Certification Body after one Certification cycle and only when there has been closure of all outstanding Non-Conformities and provided the Certification is not suspended or under threat of suspension or withdrawal.

Note: Certification Body’s can make available to Supplier their procedures outlining the conditions under which a change of Certification Body can proceed.

10.6 Scope of Certification

10.6.1 SQF 1000 Certification is “site” and product specific. Where activities are carried out in different premises in close proximity to one another, and those activities are overseen by the same Senior Management, the “site” can be expanded to include those premises.

10.6.2 The Scope of Certification forms part of the Certificate of Registration. It describes the Food Sector Categories (see Appendix 5) and the products processed and handled on that “site”. The Certificate of Registration outlines the location of the “site” and nature and extent of the Suppliers SQF 1000 Certification.

Note 1: The “site” is the actual street address of the premises.

Note 2: Suppliers need to be aware that products not listed under the Scope of Certification should not be promoted as being covered by the Certification. Instances where this is identified and substantiated (either by regular Audit or by other means) may result in immediate withdrawal of the SQF 1000 Certification.

10.7 Changing the Scope of Certification

10.7.1 Where the Scope of Certification is changed (i.e. expanded or reduced by the addition or removal of additional Food Sector Categories or products), a new Certificate of Registration shall be issued. Expansions of Scope require verification by the Certification Body has by site Audit that the changes comply with the SQF 1000 Code requirements, the relevant legislation and any customer requirements.

10.7.2 The Certification Body shall make the appropriate changes to the Suppliers record on the SQFI database.

10.8 Identifying the Scope of the Audit

10.8.1 The Supplier and the Certification Body shall agree the Audit scope before any Audit (including the Document Review) is commenced. The scope shall cover the Food Sector Categories and the products listed under the Scope of Certification for a “site”. The Audit scope shall cover all processes under the control of the Supplier including from raw material receipt to shipment of finished product.

10.9 Requirements for SQF Auditors 10.9.1 SQF Auditors are registered with the SQF Institute. The SQF Institute has established specific criteria that SQF Auditors must meet including a requirement that Auditors demonstrate they are competent to Audit the Food Sector Category they apply for. 10.9.2 SQF Auditors are required to sign a contract with a licensed SQF Certification Body. They are

required to:

i. Maintain their SQF Auditor registration; ii. Maintain an audit log; and iii. Sign and comply with the Code of Conduct for SQF Auditors.

Note: SQF Auditors who are full time employees employees are deemed to be under contract with their employee. SQF Contract Auditors are required to have a contract with their Certification Body.

10.9.3 Certification Body’s are required to use only registered SQF Auditors and Suppliers are encouraged to verify the SQF Auditors identification (see Figure 4) before the Audit. The SQF Auditor Criteria and a list of registered SQF Auditors are available on the SQFI web site at www.sqfi.com.

10.10 Rotation of Auditors

10.10.1 The Certification Body shall ensure no SQF Auditor conducts Audits of the same Supplier for more than three consecutive Certification Cycles.




43

Figure 4 Example SQF Auditor ID card

10.11 Technical Experts

10.11.1 In circumstances where a Technical Expert is used to assist an SQF Auditor in the performance of an SQF Audit the Supplier shall be notified in advance and retains the option of accepting or rejecting their participation where a conflict of interest is demonstrated. The Technical Expert shall sign a confidentiality agreement with the Certification Body.

10.11.2 Prior to participating in any Audit activity a Technical Expert shall be registered with the SQF Institute and observe the Conflict of Interest provisions included at 9.13.

10.12 Language

10.12.1 The Certification Body shall ensure that the SQF Auditor conducting the Audit can competently communicate in the oral and written language of the Supplier being Audited.

10.12.2 In circumstances where a translator is required that translator shall be provided by the Certification Body and shall have knowledge of the technical terms used during the Audit; be independent of the Supplier being Audited and have no conflict of interest. The Supplier shall be notified of any increase in Audit duration and cost associated with the use of a translator.

10.12.3 For the purpose of resolving a conflict, the English version of the SQF 1000 Code shall be the deciding reference.

10.13 Conflict of Interest

10.13.1 Conflict of interest provisions form part of internationally accepted procedures and standards to ensure the impartiality of the auditor is maintained and to maintain the integrity of the third party audit. The SQF Auditor must disclose to the Certification Body any existing, former or proposed link between themselves or their organization and the Supplier (client).

10.13.2 The SQF Program outlines requirements for SQF Auditors and Certification Body’s to ensure that there is no conflict of interest in regard to the way in which SQF Auditors undertake audits of SQF Systems. Accordingly, SQF Auditors shall not Audit an SQF System where they have participated in a consulting role involving the Supplier in question, or any body related to the Supplier, within the last two years.

10.13.3 Consulting is considered to be participating in an active and creative manner in the development of the SQF System to be audited and would include activities such as:

1. Producing or preparing Food Safety Plans, manuals, handbooks or procedures; 2. Participating in the decision making process regarding SQF Systems; 3. Giving advice - as a consultant or otherwise – toward the design, development, validation,

verification, implementation or maintenance of SQF Systems; and 4. Deliver or participate in the delivery of an “in house” training service at which advice and

instruction on the development and implementation of a Food Safety Plan and SQF Systems for eventual certification is provided.

10.13.4 A Supplier can refuse to the service of an SQF Auditor where they consider the Auditor may have a conflict of interest, or for other reasons. In such circumstances the Supplier shall outline the reasons in writing to the Certification Body.

10.14 The Certification Process

10.14.1 The Document Review is undertaken to verify that the Supplier’s SQF System documentation meets the requirements of the SQF Code. It shall establish and ensure:

i. An appropriately qualified SQF Practitioner is designated; ii. The Food Safety Plan and the associated CCP determinations and validations and

verifications are appropriately documented and endorsed by the SQF Practitioner; and iii. That the documented System is relevant to the Scope of Certification and the products

processed there under.


00000 7 Nov. 2008 7 Nov. 1994

Food Sector Categories

1st Name Surname

Marion JONES


YAKIMA WA

USA

SQF AUDITORReg. No Expiry Date Licensed Since

00000

Food Sector Categories 3, 4, 14, 251st Name Surname


SQF AUDITOR

EXAMPLE ONLY

EXAMPLE ONLY


00000 7 Nov. 2008 7 Nov. 1994


1st Name Surname

Marion JONES


YAKIMA WA

USA


00000




00000 7 Nov. 2008 7 Nov. 1994


1st Name Surname

Marion JONES


YAKIMA WA

USA


00000



SQF AUDITOR

EXAMPLE ONLY

EXAMPLE ONLY


00000 7 Nov. 2008 7 Nov. 1994


1st Name Surname

Marion JONES


YAKIMA WA

USA


00000



SQF AUDITOR

EXAMPLE ONLY

EXAMPLE ONLY


00000 7 Nov. 2008 7 Nov. 1994


1st Name Surname

Marion JONES


YAKIMA WA

USA


00000




00000 7 Nov. 2008 7 Nov. 1994


1st Name Surname

Marion JONES


YAKIMA WA

USA


00000



SQF AUDITOR

EXAMPLE ONLY

EXAMPLE ONLY




44

10.14.2 The Certification Body shall notify the Supplier of Corrections or Corrective Action, or any aspects of the SQF System that require improvement or adjustment and verify that all Corrections or Corrective Action has been addressed before proceeding with a Certification Audit.

10.14.3 The Certification Audit is conducted on-site and where applicable during the main part of the season. It determines the SQF System is implemented as documented. It establishes and verifies the:

i. Effectiveness of the SQF System in its entirety; ii. Effective inter-action between all elements of the SQF System; and iii. Supplier has demonstrated a commitment to maintaining an effective SQF System and to

meeting their regulatory and customer requirements.

Figure 5 Steps to achieving SQF 1000 Certification

10.14.4 The Surveillance Audit is conducted when the results of a Certification or Re-certification Audit do not support an annual Audit frequency. The purpose of the Surveillance Audit is to:

i. Verify outstanding Corrections and Corrective Actions have been appropriately addressed and to close-out outstanding Non-conformance;

ii. Verify that the SQF System continues to be implemented as documented; iii. Consider and take appropriate action where changes to the Supplier’s operations are made

and the impact of those changes on the Supplier’s SQF System; iv. Confirm continued compliance with the requirements of the relevant SQF Code; v. Verify all critical steps remain under control; and vi. Contribute to continued improvement of the Supplier’s SQF System and business operation.

10.14.5 The Re-certification Audit of the SQF System is undertaken to verify the continued effectiveness of the Supplier’s SQF System in its entirety. The Re-certification Audit shall provide for a review of past performance of the SQF System and is conducted annually on the anniversary date of the issue of the initial Certification. The purpose of the Re-certification Audit is to:

On-site Pre-assessment / Gap Analysis conducted

Select Certification Body (licensed by SQFI), Complete Application,

Proposal for Certification Accepted

Supplier Documents and Implements its SQF System

Supplier to take Corrective Action

Critical Non-conformities; Major Non-conformities; or

Rating <C

Auditor Reviews Findings

No Critical Non-conformities; No Major Non-conformities;

and Rating > C

SQF Certificate valid for 12 months

Corrective action

System Deficient

Supplier Submits SQF System Documents to Certification Body for review

(Document Review)

Certification Audit, On-site Assessment and Evaluation (conducted by a

Registered SQF Auditor)

Recommendation by Auditor

Decision on Certification by

Certification Body Review Council

Certificate Issued

On-site Pre-assessment / Gap Analysis conducted

Select Certification Body (licensed by SQFI), Complete Application,

Proposal for Certification Accepted

Supplier Documents and Implements its SQF System


Critical Non-conformities; Major Non-conformities; or

Rating <C

Auditor Reviews Findings

No Critical Non-conformities; No Major Non-conformities;

and Rating > C

SQF Certificate valid for 12 months

Corrective action

System Deficient

Supplier Submits SQF System Documents to Certification Body for review

(Document Review)

Certification Audit, On-site Assessment and Evaluation (conducted by a

Registered SQF Auditor)

Recommendation by Auditor

Decision on Certification by

Certification Body Review Council

Certificate Issued




45

i. Verify outstanding Corrections and Corrective Actions have been appropriately addressed and to close-out outstanding Non-conformance;

ii. Verify that the SQF System continues to be implemented as documented; iii. Consider and take appropriate action where changes to the Supplier’s operations are made

and the impact of those changes on the Supplier’s SQF System; iv. Verify all critical steps remain under control and the effective inter-action between all

elements of the SQF System; v. Verify the overall effectiveness of the SQF System in its entirety in the light of changes in

operations; vi. Verify the Supplier continues to demonstrate a commitment to maintaining the effectiveness

of the SQF System and to meeting regulatory and customer requirements; and vii. Contribute to continued improvement of the Supplier’s SQF System and business operation.

Figure 6 Diagram showing the Re-certification Process

10.15 Time Taken to Conduct the SQF Audit

10.15.1 A third party food safety audit involves a number of stages. Audit preparation includes reviewing past reports and once the on-site audit is conducted the time to prepare the audit report and follow up outstanding Corrective Actions must be considered.

10.15.2 Once the Certification Body has the details of the Scope of the Certification, the number of different processes and products manufactured and handled on the site, they will be able to provide an estimate of the time it will take to complete the Audit.

10.15.3 The Audit times will vary according to the size and complexity of the site operations.

10.15.4 Audit costs are generally calculated on hourly rates. The Certification Body shall provide estimates of the number of hours required to Audit your SQF system. Factors that can impact on the audit duration include:

i. The Scope of the Audit; ii. Dealing will issues from previous audits; iii. The size of the site and the design of product and people flows; iv. The number and complexity of product lines and the overall process; v. Whether the product is high or low risk; vi. The complexity of the SQF System design and documentation vii. The level of mechanization and labor intensive operations;

No Critical or Major Non - conformities Documented and a rating > C

Major or Minor Non - conformities Documented or rating < C Critical Non - conformities documented

Withdraw the Certificate

Certification Body notifies supplier prior to the Audit due date

Suspend theCertificate

Re - apply forCertification

Supplier takesCorrective Action

Corrective ActionUnsatisfactory


Auditor reviews Corrective Action

Corrective ActionSatisfactory



Certification Body Review CouncilAssesses and Approves the Certification

SQF 1000 Certificate issued

On - site assessment conducted by the SQF Auditor

SQF Auditor reviews supplier ’ s record

SQF Auditor reviews their findings

No Critical or Major Non - conformities Documented and a rating > C

Major or Minor Non - conformities Documented or rating < C Critical Non - conformities documented

Withdraw the Certificate

Certification Body notifies supplier prior to the Audit due date

Suspend theCertificate

Re - apply forCertification

Supplier takesCorrective Action



Auditor reviews Corrective Action




Certification Body Review CouncilAssesses and Approves the Certification

SQF 1000 Certificate issued

On - site assessment conducted by the SQF Auditor

SQF Auditor reviews supplier ’ s record

SQF Auditor reviews their findings




46

viii. The ease of communication with company personnel (different languages spoken); ix. The skill of the Auditor; and x. The co-operation of the Supplier’s personnel.

10.15.5 In addition to the above consideration must be given to the cost incurred for travel, car hire accommodation and other expenses associated with getting the Auditor to the site.

Note: Details of how a Supplier can prepare for an efficient SQF 1000 Systems Audit are covered in the Implementing SQF 1000 Systems Training Course. This training will provide the Supplier with information on how to efficiently document their SQF 1000 system so that is easy to follow, implement, amend and contribute to an efficient third party audit.

10.16 The Audit Report 10.16.1 Introduction

10.16.1 The SQFI provides the Certification Body with the audit checklist to be used by their Auditors when conducting SQF Audits. These audit checklists are designed to assist with the uniform application of SQF Audit requirements.

10.16.2 Guidelines

10.16.2.1 These explanatory notes are provided to utilize the uniform Audit of SQF Systems. Customer requirements will vary and it is the responsibility of the Certification Body to ensure that Audits undertaken by their SQF Auditors are thorough, that all requirements are fulfilled and the report is complete. The audit report is used by SQF Auditors to record their findings in determining the extent to which Supplier operations comply with stated requirements.

10.16.2.2 Each aspect of a Suppliers SQF System is assessed and the following criteria are used:

4 - Does not meet the criteria (Critical Non-conformity)

3 - Does not meet the criteria (Major Non-conformity)

2 - Does not meet the criteria because of minor variations (Minor Non-conformity)

1 - Opportunity for improvement

0 - Meets the criteria

10.16.2.3 A rating is calculated for the premises as a whole. It provides a basis for comparing the overall condition of the premises against the standards. The rating is determined as follows:

A - B x 100 = Rating A

10.16.2.4 Where A is the product of multiplying the number of aspects assessed by 4; and B is the sum of the individual rating criteria allocated.

10.16.2.5 Defects and Corrections listed in the report are to be accurately described by the SQF Auditor on a Corrective Action Request (CAR).

10.16.2.6 The following rating represents the standard of the premises. It can also be used to rate areas within the premises:

0 - 59 F Fails to comply

60 - 75 M Considered Marginal (Does not comply)

76 - 85 C Considered to Comply

86 - 95 G Considered Good

96 - 100 E Considered Excellent

10.16.2.7 The SQF Audit report shall remain the property of the Certification Body’s client and shall not be distributed to other parties without the permission of that client.

10.17 Non-conformance 10.17.1 Minor Non-conformance

Minor Non-conformance means a lack or deficiency in the SQF System that produces unsatisfactory conditions that if not addressed may lead to a risk to food safety and quality but not likely to cause a systems element breakdown.

10.17.1.1 Dealing with a Minor Non-conformity

A Minor Non-conformity shall be Corrected, verified and closed out within 30 days of the completion of the on-site Audit. In circumstances where there is no immediate threat to product safety or quality, extensions may be granted by the Certification Body but a Minor Non-conformity shall be Corrected and




47

appropriate Corrective Action verified by the SQF Auditor before or at the next Surveillance or Re-certification Audit.

10.17.2 Major Non-conformance

Major Non-conformance means a lack or deficiency in the SQF System producing unsatisfactory conditions that carry a food safety or quality risk and likely to result in a systems element breakdown.

10.17.2.1 Dealing with a Major Non-conformity

A Major Non-conformity shall be Corrected and appropriate Corrective Action verified and closed out within 14 days of the completion of the on-site Audit. In circumstances where the Corrective Action involves structural change or where the Major Non-conformity cannot be Corrected due to seasonal conditions, or where there is no immediate threat to product safety or quality this period can be extended provided the Corrective Action time frame is acceptable to the Certification Body. In such cases the Auditor shall document all details of justification of the extension and how the risk is being controlled. The Major Non-conformity shall be Corrected and appropriate Corrective Action verified by the SQF Auditor before or at the next Surveillance or Re-certification Audit.

10.17.3 Critical Non-conformance

Critical Non-conformance means a breakdown of control(s) at a critical control point a Pre-requisite Program or other process step and judged likely to cause a significant public health risk whereby product safety is compromised and judged likely to result in a Class 1 or Class 2 recall and effective Corrective Action is not taken and falsification of records relating to food safety controls and the SQF System.

10.17.3.1 Dealing with a Critical Non-conformity

Where a Critical Non-conformity is detected at Audit the Certification Body shall suspend or withdraw the SQF 1000 Certificate of Registration. The criteria for dealing with suspensions and withdrawals of Certification are outlined in 10.18.4 and 10.18.5 below.

Note: Corrective Action to rectify Non-conformities involving food safety shall be implemented as outline by the SQF Auditor. Recommendations to suspend production and isolate product may be necessary if defects cannot be rectified immediately. Correction of these defects shall be made to ensure product is not at risk. All Non-conformities and their resolution shall be documented by the SQF Auditor.

10.18 Decisions on Certification 10.18.1 Granting Certification

10.18.1.1 Certification of SQF Systems shall be awarded to Suppliers who achieve a “C” Audit rating or greater with no outstanding Non-conformities.

10.18.1.2 Once SQF 1000 Certification is granted the SQF Institute issues a unique Certification Number which is specific to that Site.

10.18.1.3 Within fourteen (14) days of granting Certification the Certification Body shall provide to the Supplier:

For Level 1 and Level 2

i. A Certificate of Registration in the form set out in Appendix 6 4; ii. A statement detailing the duration of the Certification and the grounds upon which

Certification may be suspended or withdrawn; iii. The Audit Report including the Audit rating; and iv. The requirements for undertaking Surveillance Audits and Re-Certification Audits and their

frequency. For Level 3

v. In addition to items i. to iv. above the Certification Body shall provide an electronic copy of the SQF 1000 Certification Trade Mark containing the Certification Body name and the Suppliers Certification number.

10.18.2 Maintaining Certification

10.18.2.1 To maintain SQF 1000 Certification a Supplier is required to attain a “C” Audit rating or greater, ensure the number and type of Non-conformances detected at Audit does not exceed the threshold level (see Table 5) and ensure all Non-conformities are Corrected within the time frame specified.

10.18.3 Suspending Certification

10.18.3.1 The Certification Body shall suspend the SQF Certificate of Registration where a Critical Non-conformity is detected at Audit or where a Supplier fails to take Corrective Action within the time frame specified.

10.18.3.2 Where the Supplier’s Certificate of Registration is suspended the Certification Body shall immediately amend the Suppliers details on the SQFI database to a “suspended” status indicating the reason for the suspension and the date of effect; and in writing:




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i. Inform the Supplier of the reasons for the action taken and the date of effect; and ii. Request the Supplier to provide to the Certification Body, within 48 hours of receiving

notice of the suspension, a detailed Corrective Action Plan outlining the Corrective Action to be taken.

10.18.3.3 Where the Supplier’s Certificate of Registration is suspended the Certification Body shall upon receipt of the detailed Corrective Action Plan:

i. By the means of an on-site Audit and within thirty (30) days of receiving the Corrective Action Plan verify that the immediate Correction has been taken;

ii. Not more than three (3) months after suspension the Certification Body shall verify by site Audit the effective implementation of the Corrective Action Plan and that the Suppliers SQF System is achieving stated objectives; and

iii. Where Corrective Action has been successfully taken re-instate the Suppliers status on the SQFI database and give written notice to the Supplier that their Certificate of Registration is no longer suspended.

10.18.3.4 Where a Certification Body has suspended a Supplier’s SQF Certificate of Registration, for the duration of suspension the Supplier shall not represent itself as holding a SQF Certificate of Registration.

For Level 3

10.18.3.5 In addition to 9.18.3.4 above not apply the SQF 1000 Certification Trade Mark to any goods, product or packaging while under suspension.

10.18.4 Withdrawing Certification

10.18.4.1 The Certification Body shall withdraw the Certificate of Registration where the Supplier:

i. Having been placed under suspension fails to take Corrective Action within the time frame specified;

ii. Has falsified its records; iii. Fails to have the required Audit conducted within 30 days of the due date; iv. Fails to comply with the Certificate of Registration; or v. Has an administrator, receiver, receiver and manager, official manager or provisional

liquidator appointed over its assets or where an order is made or a resolution passed for the winding up of the Supplier (except for the purposes of amalgamation or reconstruction) or the Supplier ceases to carry on business or becomes bankrupt, applies to take the benefit of any law for the relief of bankrupt or insolvent debtors or makes any arrangement or composition with its creditors.

For Level 3 vi. In addition to 9.18.4.1 i. to v. above uses the SQF 1000 Certification Trade Mark while

under suspension; and vii. Uses the SQF 1000 Certification Trade Mark inappropriately and not in accordance with the

document entitled “SQF 1000 Certification Trade Mark - Rules for Use” without a valid reason

10.18.4.2 Where the Supplier’s Certificate of Registration is withdrawn the Certification Body shall immediately amend the Suppliers details on the SQFI database to a “withdrawn” status indicating the reason for the withdrawal and the date of effect; and in writing:

i. Inform the Supplier that the SQF Certificate of Registration has been withdrawn, the reason for such action and the date of effect; and

ii. Instruct the Supplier to return the Certificate of Registration and the electronic copy of the Certification Trade Mark.

For Level 3 iii. In addition to 10.18.4.2 i. and ii. inform the Supplier that all packaging, stationary and

other means that may indicate the Supplier holds SQF Certification or which contain a Certification Trade Mark. Such materials shall be treated as outlined section 6 of the “SQF 1000 Certification Trade Marks - Rules for Use”.

10.18.4.3 The Certification Body is responsible for initiating the suspension and withdrawal of the SQF 1000 Certificate.

10.19 SQF 1000 Audit Frequency 10.19.1 General Requirements

Audits of SQF 1000 systems are conducted annually. A 60 day period (30 days either side of the Certification anniversary date) is provided to enable the Certification Body sufficient time to complete the Audit. In this time period the Supplier is required to Correct any Non-conformances found at Audit and the Certification Body is required to close out those Non-conformances and post the Suppliers Certification details on the SQFI database.

10.19.2 Seasonal Conditions

Where a Supplier operates under Seasonal conditions (a period in which the major processing activity is conducted over not more than five consecutive months) the Certification Audit and the Re-certification Audit shall be completed within thirty (30) days after the start of the main part of the season.




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10.19.3 Impact on Certificate of Non-conformance

10.19.3.1 The impact of the number and severity of non-conformances on the certification is further described when a Suppliers Certificate is suspended or withdrawn as outlined in Table 5.

Table 5 Determining the impact of Non-conformance on the Audit frequency.

Type of Non Conformance Audit

Rating Critical Major Minor

Action

Withdraw Certification (depending on the nature of the Critical Non-

conformance see 9.19) C/G/E 1 0 0

Suspend Certification

C/G/E 0 ≥4 0 Suspend Certification

C/G/E 0 0 ≥40 Suspend Certification

C/G/E 0 ≥3 ≥10 Suspend Certification






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Section 11: The SQFI Audit and Certification Management System and Supplier Database

Contents

11.1 Introduction .................................................................................................................51

11.2 SQF Audit and Certification Management......................................................................51

11.3 SQFI Online Database...................................................................................................51

11.4 Features and Benefits for Buyers..................................................................................51

11.5 Features and Benefits for Suppliers ..............................................................................51




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11. The SQFI Audit and Certification Management System and Supplier Database

11.1 Introduction

11.1.1 The SQF Institute provides stakeholders with details of SQF Certification Bodies, auditors, consultants and training providers through an online database. This online portal also utilizes the latest data collection technology to capture suppliers’ certification details and audit results.

11.1.2 Suppliers, Buyers and the Certifiers, the three main users of the SQF program, will have password protected access to information contained in the database that is relevant to their needs and will ensure efficient and effective communication and information flows.

11.1.3 This innovative technology will be available by October 2008. Supported by SQFI partners Muddy Boots and Agentrics, it will enable Suppliers, through password protected access, to manage information about their SQF Certification and make it available to their customers.

11.2 SQF Audit and Certification Management

11.2.1 The main features of the SQF Audit and Certification Management system include: i. Anywhere data collection and input – Auditors will use mobile devices, such as laptops or

tablet PCs, equipped with unique software known as the SQFI Quickfire PAF (portable audit format) application to capture audit data, eliminating a manual, paper-based process;

ii. Faster audit processing – Simplifying and automating input will speed the audit process and improve audit reporting;

iii. Task management – Corrective Actions and follow ups are automatically scheduled and prioritized during the audit to ensure outstanding tasks are managed effectively. Certification Bodies can upload Audit reports; and

iv. Permission-based online access – Suppliers will access and manage their audit results; notify auditors when Corrective Action has been completed and enable them to share Audit results and information with their customers. This will support continuous improvement and build greater customer confidence.

11.3 SQFI Online Database

11.3.1 Details about a supplier’s certification status and audit results will be made available online at www.sqfi.com according to four different permission-based levels.

Public Access Level 1: Level one provides public access to basic details of a supplier’s SQF Certification status. Access will alert current and potential customers of a Suppliers achievement thus raising customer confidence and support. Detail provided at level 1 will include the Supplier name, state/province, country, Certificate type and number, Certification level, Certification expiry date, Food Sector Category(s) and Product(s) list.

11.3.2 Access to the remaining three levels is controlled by the Supplier. Varying levels of information about a Certification is provided to customers via password-protected access to the requested levels outlined below.

Customer Access Level 2: Buyers will have access to more detail about the Supplier’s Certification record and will include the Suppliers name, state/province, country, Certificate type and number, Certification level, Certification renewal date, Food Sector Category(s), Product(s) list, Company representative name and contact details, SQF Practitioner name, Audit rating, Name of the Certification Body, Auditor name SQFI registration number, Audit frequency, date of last Audit and the date of next Audit.

Customer Access Level 3: Buyers will have access to a summary of the audit report.

Customer Access Level 4: Buyers will have access to the complete audit findings.

11.3.3 If a Supplier is not listed on the SQFI database it shall not be considered a Certified SQF Supplier.

Note: The Certification Body is responsible for ensuring its clients SQF Certification details are listed on the SQFI database. Once Certified, Suppliers are encouraged to check that their Certification status is correctly listed and contact their Certification Body if discrepancies are identified.

11.4 Features and Benefits for Buyers: i. Instant Access – Buyers can quickly access supplier information including audit details,

certification status and updates on conformance progress measures; ii. Increased Accuracy – New mobile data collection systems, developed by Muddy Boots Inc.,

will ensure that audit information is more accurate and timely; and iii. Supplier Sourcing – Buyers can easily search for new, SQF-certified sources of supply.

11.5 Features and Benefits for Suppliers: i. Enhanced Market Access – Suppliers will be able to share their certification status and audit

information to market themselves to potential customers; ii. Supplier Task Management – Allows suppliers to track progress and maintain auditing

schedules and processes; and iii. Supplier Profile Management – Suppliers determine the permitted level of access for their

customers and manage their own profile.




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12. SQF 1000 Certification Trade Mark – Rules for Use

The SQF 1000 Certification Trade Mark can be used by a Supplier that has achieved SQF Certification at Level 3 only. The mark can be used on product and on documents that are used for public display. The SQFI has prepared a document “SQF Programs: SQF 1000 Certification Trade Mark - Rules for Use” to outline how the Certification Trade Mark is to be used and is available on the SQF website, www.sqfi.com.




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13. Requirements for a Multi-site Organization

13.1 Scope

13.1.1 This Appendix outlines the requirements for establishing and maintaining Certification of a Multi-site Organization under the SQF Program.

13.2 References

13.2.1 The following references apply:

ISO/IEC 17021: 2006, General Requirements for Bodies Operating Assessment and Certification/Registration of Quality Systems.

IAF Guidance on the Application of ISO/IEC Guide 62: 1996, General Requirements for Bodies Operating

Assessment and Certification/Registration of Quality Systems, Issue 4, 15 December 2002.

13.3 Definitions

13.3.1 For the purpose of this Code the definitions outlined in “SQF Program – Vocabulary” and the

following definitions apply.

13.3.1.1 Central-site is an entity Certified to the SQF 2000 Code, or eligible for such Certification, that has;

i. A network of Primary Producer Sub-sites that are eligible for Certification to the SQF 1000 Code; or

Note: Examples of SQF 1000 Sub-sites include a group of:

• Beef producers who supply animals under contract to a Slaughterhouse; • Fruit growers supplying fruit under contract to pack-house or processor; • Grain Producers who supply grain under contract for further processing or for storage

and consolidation prior to bulk shipment; • Fishermen who supply fish under contract to a processor for further processing; or • Dairy farmers supplying milk under contract to a cheese manufacturer.

ii. A network of restaurant or fast food outlet Sub-sites eligible for Certification to the SQF 2000 Code supplied with meal components ready for assembly or cooking from a SQF 2000 Central-site master/central kitchen.

13.3.1.2 Multi-site Organization is comprised of a Central-site under which activities are planned to manage and control the food safety and quality management systems of a network of Sub-sites under a legal or contractual link.

13.4 Eligibility Criteria for the Multi-site Organization

13.4.1 The Central-site is the entity responsible for the Multi-site Organization.

13.4.2 Sub-sites shall be linked to the Central-site by a legal or contractual arrangement.

13.4.3 SQF 1000 Sub-sites shall implement a common SQF 1000 management system that includes as a minimum SQF 1000 Code elements as outlined in Appendix 1 and which is established at each Sub-site and which is subject to continuous surveillance by the Central-site.

13.4.4 SQF 2000 Sub-sites shall implement a common SQF 2000 management system that includes as a minimum SQF 2000 Code elements as outlined in Appendix 2 and which is established at each Sub-site and which is subject to continuous surveillance by the Central-site.

13.4.5 The Central-site shall implement Corrective Actions when needed in any Sub-site. This shall be laid down in the contract between the Central-site and the Sub-sites.

13.4.6 The product(s) supplied by Sub-sites shall be substantially of the same kind and produced according to the same fundamental methods and procedures.

13.4.7 The Central-site shall establish and maintain SQF 2000 Certification for the duration of the multi-site arrangement.

13.4.8 The Central-site’s SQF 2000 management system shall be administered under a centrally controlled plan and be subject to central management review.

13.4.9 The Central-site shall demonstrate an ability to collect and analyze data from all sites, including the Central-site, and have the authority and ability to initiate organizational change if required.

13.4.10 The central administration function and the Sub-sites shall be subject to the Central-site’s internal audit program and shall be audited in accordance with that program and prior to the Certification Audit.

13.5 Internal Audits

13.5.1 The Central-site shall document its internal audit procedure which shall include an internal audit schedule and outline the method of conducting audits of Sub-sites and the Central-site administrative function.




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13.5.2 All Sub-sites and the Central-site administrative function shall be subject to a minimum of one internal audit per year. Internal audits of Sub-sites shall be conducted during periods of peak activity.

13.6 Internal Audit Personnel

13.6.1 Personnel conducting internal audits of the Multi-site Organization and evaluating the results of those internal audits shall be trained in internal audit procedures and be registered as an SQF Consultant or an SQF Auditor.

13.6.2 It is acceptable for the Central-site to contract out the internal audit function provided the contractor fully complies with these requirements and the requirements outlined in 13.4.2 and 13.4.3.

13.6.3 Where the internal audit function is contracted out the Central-site shall be accountable for the actions and effectiveness of the work completed by the contractor.

13.6.4 Contract arrangements shall comply with 4.3.4 of this Code.

13.7 Auditing and Certifying the Multi-site Organization

13.7.1 Audits and Certification of a SQF Multi-site Organization are completed by SQF licensed and Accredited Certification Bodies. The third party Audit involves:

i The Document Review (completed prior to the Certification Audit and whenever major changes to the Multi-site Organization System documentation is made);

ii The Certification Audit; iii Surveillance Audits; and iv Re-certification Audits.

13.7.2 The Document Review, Certification Audit and subsequent Surveillance and Re-certification Audits of the Multi-site Organization shall be centered on the SQF 2000 Central-site, the Central-sites internal audit function and a sample of the Sub-sites.

13.8 Audit Frequency

13.8.1 A Multi-site Organization is Audited each six months.

13.8.2 After successful completion of a Certification Audit and subsequent Re-certification Audits, the Multi-site Organization shall be subject to a 6 monthly Surveillance Audit.

13.8.3 The Multi-site Organization shall not qualify for reduced Audit frequency under Section 10, Clause 10.19.3 of this document.

13.9. Selecting the Sub-site

13.9.1 The selection of the sample is the responsibility of the Certification Body.

13.9.2 The sample is partly selective based on the factors set out below and partly non-selective, and shall result in a range of different Sub-sites being selected, without excluding the random element of sampling.

13.9.3 At least 25% of the sample shall be selected at random.

13.9.4 Taking into account the criteria mentioned hereafter, the remainder shall be selected so that the differences among the Sub-sites selected over the period of validity of the Certificate of Registration is as large as possible.

13.9.5 The Sub-site selection criteria shall include among others the following aspects:

i Results of internal Audits or previous Certification assessments; ii Records of complaints and other relevant aspects of Correction and Corrective Action; iii Significant variations in the size of the Sub-sites; iv Variations in the work procedures; v Modifications since the last Certification assessment; and vi Geographical dispersion.

13.9.6 The Central-site shall be informed of the Sub-sites that will comprise the sample and be allowed adequate time to prepare for the Audit.

13.9.7 The Central-site’s SQF 2000 System, including its Sub-site internal Audit procedure, shall be assessed during the Certification Audit and each Surveillance and Re Certification Audit.

13.10 Determining the Size of the Sub-sites Sample

13.10.1 The Certification Body shall record the justification for applying a sample size outside that described in this clause.

13.10.2 For low risk activity at each Sub-site the minimum number of Sub-sites to be visited per Audit is:

i. Certification Audit: The sample size equals the square root of the number of Sub-sites with 1.5 as a co-efficient (y=1.5√x), rounded to the upper whole number.

ii. Surveillance Audit: The sample size equals the square root of the number of Sub-sites (y=√x), rounded to the upper whole number.




55

iii. Re-certification Audit: The sample size equals the square root of the number of Sub-sites with 1.5 as a co-efficient (y=1.5√x), rounded to the upper whole number.

13.10.3 For high risk activity at each Sub-site the minimum number of Sub-sites to be visited per Audit is:

i. Certification Audit: The sample size equals the number of Sub-sites with 2.0 as a co-efficient (y=2√x), rounded to the upper whole number.

ii. Surveillance Audit: The sample size equals the square root of the number of Sub-sites with 1.5 as a co-efficient (y=1.5√x), rounded to the upper whole number.

iii. Re-certification Audit: The sample size equals the square root of the number of Sub-sites with 2.0 as a co-efficient (y=2.0√x), rounded to the upper whole number.

13.10.4 The size of sample shall be increased where the Certification Body’s risk analysis of the activity covered by the management system subject to Certification indicates special circumstances in respect of factors like:

i. Major variations in processes undertaken at each Sub-site; ii. Records of complaints and other relevant aspects of Correction and Corrective Action; iii. Indication of an overall breakdown of food safety controls; or iv. Inadequate internal audits or action arising from internal audit findings.

13.11 Additional Sub-sites

13.11.1 On the application of a new group of Sub-sites to join an already certified Multi-site Organization, each new group of Sub-sites shall be considered as an independent set for the determination of the sample size. After inclusion of the new group in the Certification, the new Sub-sites shall be cumulated to the previous ones for determining the sample size for future Surveillance or Re-Certification Audits.

13.12 Dealing with Non-conformities

13.12.1 When Non-conformities are found at any individual Sub-site through the Central-site’s internal auditing, investigation shall take place to determine whether the other Sub-sites may be affected. The Certification Body shall require evidence that the Central-site has taken action to rectify all non-conformities found during internal audits and that all non-conformities are reviewed to determine whether they indicate an overall system deficiency applicable to all Sub-sites or not. If they are found to do so, appropriate Corrective Action shall be taken both at the Central-site and at the individual Sub-sites. The Central-site shall demonstrate to the Certification Body the justification for all follow-up action.

13.12.1 When Non-conformities are found at the Central-site, the internal audit function or at any individual Sub-site through Auditing by the Certification Body action shall be taken by the Certification Body as outlined in Appendix 3, clause 3.18.

13.12.2 The Certification Body shall increase its sampling frequency until it is satisfied that control has been re-established by the Central-site.

13.12.3 At the time of the initial Certification and subsequent Re-certification a Certificate of Registration shall not be issued to the Multi-site Organization until satisfactory Corrective Action is taken to close out all Non-conformances.

13.12.4 It shall not be admissible that, in order to overcome the obstacle raised by the existence of Non-conformity at a single Sub-site, the Central-site seeks to exclude from the Scope of Certification the "problematic" Sub-site during the Certification, Surveillance or Re-Certification Audit.

13.13 Certificate Issued for a Multi-site Organization

13.13.1 A Certificate of Registration shall be issued to the Central-site only. The Central-site’s Certificate of Registration shall include an appendix listing all Sub-sites participating in the Multi-site Organization. The format for the Certificate of Registration and the appendix list is provided by the SQF Institute.

13.13.2 The Central-site may issue a letter to the Sub-site indicating its participation in the Multi-site Organization. In such cases the letter shall be written on the Central-sites letterhead, signed by senior management and include the following:

i. Header: SQF Multi-site Organization – Participating SQF 1000 Sub-site details; ii. The statement:

“This letter outlines the participation of (name and site address of Sub-site) in the Multi-site Organization administered by (name and Certification Number of Central-site). Participation in the Multi-site Organization is valid for 1 year subject to satisfactory surveillance and provided the Sub-site remains a member of the Multi-site Organization”;

iii. SQF 1000 Certification Number; iv. SQF 1000 Certification - Level (insert level of Certification - either level 1, 2 or 3); v. Sub-site Registration Schedule:

• Scope of Registration (Food Sector Category) • Product(s)

vi. Date of Audit; vii. Date of issue; viii. Date of expiry; and




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ix. Name of Certification Body.

13.13.3 The Certificate of Registration will be withdrawn in its entirety, if the Central-site or any of the Sub-sites does not/do not fulfill the necessary criteria for the maintaining of the Certificate of Registration (see 13.4.8/9/10 above).

13.13.4 The list of Sub-sites shall be kept updated by the Central-site. The Central-site shall inform the Certification Body about the closure of any of the Sub-sites or the addition of new Sub-sites. Failure to provide such information will be considered by the Certification Body as a misuse of the Certificate of Registration, and the Multi-site Organization’s Certificate of Registration shall be suspended until the matter is Corrected to the satisfaction of the Certification Body.

13.13.5 Additional Sub-sites shall be added to an existing Certification as the result of Surveillance or Re Certification Audits.

13.14 Certification Trade Mark Issued for a Multi-site Organization

13.14.1 The SQF 2000 Certification Trade Mark is issued by the Certification Body to the Central-site for use by the Central-site only and in accordance with the Certification Trade Marks Rules for Use.

13.14.2 The SQF 1000 Certification Trade Mark is issued to the Central-site by the Certification Body. The Central-site shall be responsible for issuing this Mark to each Sub-site and for monitoring the use of the SQF 1000 Certification Trade Mark in accordance with the Certification Trade Marks Rules for Use.

****End of text****




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Appendix 1 Food Sector Categories

Primary Production – SQF 1000 Code

No. Category

(Suppliers Scope of Certification)

Description Example Level of Risk

1 Production, Capture and

Harvesting of

Livestock and

Game Animals

Applies to the capture, transport, holding, intensive animal husbandry and free range farming of animals, but does not include fish.

Includes:

1A Free Range Animal Production

Deer, cattle, goats, sheep, pigs, poultry, ostrich, emu, egg, etc.

LR

1B Intensive Animal Production

Cattle, pigs, poultry, eggs LR

1C Dairy farming Cattle, sheep and goats LR

1D Game Animals Buffalo, wild pigs, emu LR

1E Apiculture Bees LR

2 Growing and

Harvesting of

Animal Feeds

Applies to the production, harvesting, transport and storage of all non-processed sources of animal feeds.

Note: Excludes manufactured animal feed.

Includes pasture, silage and hay.

LR

3 Growing and

Production of

Fresh Produce

Applies to the production, harvesting, preparation, field packing, transport and controlled temperature storage of fresh whole fruit and vegetables. Includes all products grown under broad acre and intensive horticulture production systems, including orchards, viticulture, and hydroponics production and nursery operations.

All fruit and vegetable varieties including:

3A Fresh produce that will undergo further processing

Tropical and temperate tree fruits, carrots, beets, potatoes, wine grapes

LR

3B Ready-to-Eat (RTE) Produce

Table grapes, blueberries, tomatoes, peppers, herbs and spices and tomatoes, green onions, baby spinach, lettuce, melons etc

Some products and processes in category 3B are classified high risk.

4 Fresh Produce Pack house

Operations

Applies to the packing, sorting, grading, cleaning, controlled atmosphere temperature storage and transport of fresh and pre-packaged whole unprocessed fruits and vegetables.

Includes all fruit and vegetable varieties which are packed in pack houses.

LR

5 Extensive Broad

Acre Agriculture

Operations

Applies to the production, harvesting, preparation, transport and storage of cereal and other grains.

All grain and cereal varieties including but not limited to Wheat, oats, pulse crops, soy, legumes, , maize, corn and cotton

LR

5A Seed Production Mung bean seeds, alfalfa seeds, Watercress seeds.

Some products and processes in category 5A are classified high risk.

6 Harvest and

Intensive

Farming of Fish

Applies to the harvest and wild capture and intensive farming of freshwater and marine fishes and shellfish, including purification, transport and storage and extends to gilling, gutting, shucking and chilling operations at sea.

All fresh and salt water fish and shellfish species including:

6A Wild Caught Fish Tuna, abalone, lobster, shrimp, salmon, snapper and other finfish spp.

LR

6B Aquaculture and RTE fish.

Tuna, oysters, mussels, salmon, tilapia, shrimp, basa, catfish etc.

Some products and processes in category 6B are classified high risk.

28 Provision of Applies to the provision of a spray Includes pesticides and High risk activity




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Crop Spray Services

service on field crops. fertilizers administered dry or in aqueous solution.

depending on the method and time of application.

29 Provision of

Field Harvest

Services

Applies to the provision of manual labour and equipment to provide a field harvesting service.

Includes fresh fruit and vegetable pickers, rice-pickers, and nut pickers.

High risk activity for some crops.




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Appendix 2 SQF 1000 Certificate of Registration




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Notes Company Key Contact:

State: Phone: Fax:

Registration Level:

Modules:

Date of Last Audit: Audit Report No.

SQF Auditor Reg. No.:

Section Rating

Element No.Type of Non-conformity

-Select One - CAR No.

Date to be completed

(DD/MM/YY)

Supplier Agrees? Y/N

-Select One -

Total No. of Non-conformities:

Critical: Major: Minor:

0 0 0

Supplier's Signature:

Products Audit Scope:

Food Sector Categories SQF Practitioner Name:

Zip Code:

Company name (Supplier):

Exit Meeting (Name of key Personnel & Position):

SUMMARY OF AUDIT FINDINGS: DESK AUDITDate Started:

SQF Certification No. (if Certified):

Entry Meeting (Name of Key Personnel & position):

4.1 Commitment

Date Completed:

Audit Type

Element of SQF 2000 Code

SQF 2000 DESK AUDIT - SUPPLIER DETAILS

City: Country: E-mail address:

Company (Site) Address:

Technical Expert Name (if Applicable):Certification Body Name: SQF Auditor Name:

CERTIFICATION DETAILS

4.8 Identity Preserved Food

7. Requirements for Foods Contained in Hermetically Sealed Rigid,

Flexible or Semi Rigid Containers

4.2 Document Control and Records

4.3 Specification and Product Development

4.5 Verification

Details of Non-compliance and agreed Corrective Action


4.7 Site Security

4.4 Attaining Food Safety

5. Food Safety Fundamentals -

Building and Equipment Design and Construction

6. Food Safety Fundamentals -

Pre-requisite Programs

Recommendation - Select One - :

Date (DD/MM/YY):

Conclusions:

SQF Auditor's Signature:

Total time taken to complete audit (hours) & (minutes):

Comment

Detail of Non-compliance

Overall Audit Rating

Type of Site:

Corrective Action to be Taken