sqf 2000 code sqf - a haccp quality code for the food indust

8/9/2019 SQF 2000 CODE SQF - A HACCP Quality Code for the Food Indust

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SQF 2000 CODE SQF - A HACCP Quality Code for the Food Industry

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August 2001 –3rd editionA H AC C P Q U ALITY C O DE for the Food Industry

SQ F 2000C M C O D E

InstituteS Q FPublished by:

SQ F Institute S .A.R ue du G rand-C hêne 6

1003 Lausanne

Sw itzerland

Supplem entary Docum ent Attached

SQ F 2000C M C ER TIFIC ATIO N TRAD E M ARKS

Rules For U se

6th Edition, August 2001


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SQF 2000CM CodeFirst published M ay 1995

Cop yright© AGWEST&S QFI 2001. All rights reserved.

i

Preface

The SQF (Safe Quality Food) 2000CM Codewas prepared and released by the Western Australian Ministry of Agriculture in 1995. The

agrifood sector (primary producers, food manufacturers, retailers, agents and exporters) was the main driver of this initiative. It required a

quality assurance system tailored to its requirements that enabled it to meet regulatory, food safety and commercial quality criteria in a cost

effective manner. In 1994 the Code was developed and pilot programs implemented to ensure its applicability to the food sector. It was

circulated in draft form for comment to people with expertise in quality management, food safety, food regulation, food processing, agricultureproduction systems, food retailing, food distribution and HACCP.

In February 2001, the SQF 2000CM Codewas placed under the control of the SQF Institute SA. The SQF Institute SA, based in Switzerland

holds an exclusive worldwide license to control, develop, market and promote the SQF 2000CM Code.

The SQF Institute SA has established an Expert Technical Committee to review and make recommendations on changes to the Code. This

latest edition has been reviewed and reissued to ensure it is in line with the current requirements and expectations of the global food sector.

The Code will undergo a process of continuous review and be reissued at least every four years.

Suggestions for improvements to the Code are encouraged from all users. They should be submitted in writing and be sent to the head office

of the SQF Institute SA, Lausanne, Switzerland.

Copyright© AGWEST & SQFI 2001. All rights reserved.

First printed May 1995

Users of these Codes and the associated documents are reminded that copyright subsists in all SQF Institute SApublications and software. Except where the Copyright Act allows and except where provided for below no publicationsor software produced by the SQF Institute SA may be reproduced, stored in a retrieval system in any form or transmittedby any means without prior permission in writing from the SQF Institute SA. Permission may be conditional on anappropriate royalty payment. All requests for permission and information on software royalties should be directed

in writing to the head office of the SQF Institute SA located in Lausanne, Switzerland.

Care should be taken to ensure that material used is from the current edition of the Code and that it is updated wheneverthe 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. SQFI may vary this policy at any time.

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ii

Contents

Preface.................................................................................................................................................i

Contents............................................................................................................................................ii

Introduction.......................................................................................................................................1

1. Scope.............................................................................................................................................2

2. References......................................................................................................................................2

3. Definitions.....................................................................................................................................2

4. SQF 2000CM System Requirements................................................................................................3

4.1 Commitment...........................................................................................................................3

4.2 Specifications...........................................................................................................................3

4.3 Control of Production .............................................................................................................4

4.4 Verification..............................................................................................................................4

4.5 Document Control and Records..............................................................................................4

4.6 Product Identification, Trace and Recall ...................................................................................4

Appendix 1 Implementing a SQF 2000CM

System............................................................................5

Appendix 2 Principles & Application of HACCP.............................................................................6

Appendix 3 Certifying SQF 2000CM Systems...................................................................................7

Appendix 4 SQF 2000CM Certification Trade Mark – Rules for Use.................................................8

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1SQF 2000CM Code

August 2001–3rd edition

Introduction

Consumers throughout the world are demanding access tosafe, quality food. This increased demand can be attributedto more affluent and mobile populations and a growing

awareness of food safety, public health and other social issues.

Government has traditionally been responsible for ensuringconsumer health through inspection of the safety of the foodsupply. However, due to an increase of food safety incidentsworldwide, there has been a weakening of consumerconfidence in the capacity of regulators to adequately assuresafe food. In response the export, import, retail, food service,hotel, hospitality and major manufacturing sectors now insistthat all links in the food chain assume responsibility. Theuse of third party certification services to audit suppliermanagement systems and to assure the integrity, traceability,

safety and quality of the food purchased is increasing.

The SQF 2000CM

Codecan be used by all sectors of thefood industry. The Code is a HACCP management systemthat encapsulates NACMCF and CODEX HACCP Principlesand Guidelines, proven methods used by the food industryto reduce the incidence of unsafe food reaching themarketplace. It is designed to support industry or companybranded product and to offer benefits to business at all linksin the food supply chain. The business develops plans forits products and processes to cover controls necessary to

ensure food safety and quality. Products produced and

manufactured under the SQF 2000CM

Codecertificationretain a high degree of acceptance in global markets.

The SQF 2000CM

Codeenables a business to demonstratethat they can supply food that is safe and that meets the

quality specified by a customer. Raw materials received bySQF 2000CM

certified businesses from suppliers who haveimplemented the more producer friendly SQF 1000

CM Code

ensure that, through these complimentary systems, productis traceable from the producer to the consumer.

The SQF 2000CM

Codealso provides a mechanism for thefood sectors of developing countries seeking to effectivelyenter the global food market to implement a managementsystem that addresses their needs and the needs of theircustomers.

Implementing the Code is not a guarantee of food safety orquality. However, management systems that are developedto meet the requirements of this Code will minimize therisks to consistently achieving product safety and quality.

The development of the SQF 2000CM

Codehas been asignificant move towards the recognition of the importanceof independent third party assurance of food safety andquality by all sectors of the food industry. TheSQF 2000

CM

Code focuses on the benefits to both industry and theconsumer, whereby improved product quality enhances

marketabil ity and profi tabil ity.

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

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2SQF 2000CM Code


1. Scope

The SQF 2000CM Code specifies food safety and quality systemrequirements for use by all sectors of the food industry toprovide objective evidence of their ability to supply food,beverages, fibre or services which are safe and which meet

quality and legislative requirements.

The Code does not guarantee food safety or quality. However,quality management systems developed to meet the Code aredesigned to minimize the risks to achieving product safety andquality. The supplier and the customer first agree to a finishedproduct specification. By applying the concepts and principlesof Hazard Analysis and Critical Control Point (HACCP), builtupon a sound foundation of Pre-requisite Programs such asGood Manufacturing Practice (GMP), Good Hygiene Practice(GHP) or Good Agriculture Practice (GAP) the supplieridentifies, documents and controls critical food safety and

quality criteria during production in order to deliver productso specified.

2. References

The Code makes reference to the current edition of the CODEXAlimentarius Commission Guidelines for the Application of the Hazard Analysis and Critical Control Point (HACCP)System and the National Advisory Committee onMicrobiological Criteria for Foods (NACMCF) Hazard Analysisand Critical Control Point Principles and Application Guidelines,adopted August 14, 1997. It also makes reference to theInternational Organisation for Standardisation (ISO) 9001:2000Quality Management System Requirements.

3. Definitions

For the purpose of this Code, the definitions outlined in ISO8402: 1994 Quality Management and Quality Assurance -Vocabulary apply, together with the following additionaldefinitions:

3.1 Approved Supplier: An entity that has implementeda management system, approved by its customer. Themanagement system shall document the controls, verification

procedures and product analysis, and include all records necessaryto satisfy the customer’s food safety and quality requirements.

3.2 Business: An organization involved either in theproduction, manufacture, processing, transport, storage,distribution or sale of food, beverages, packaging or fibre.

3.3 HACCP: Hazard Analysis Critical Control Point. Refersto the following two universally accepted guidelines anddefinitions contained therein:

3.3.1 HACCP guidelines developed and managed by the

Food and Agriculture Organisation’s CODEX AlimentariusCommission. Hazard Analysis and Critical Control Point(HACCP) System and Guidelines for its Application – Annexto CAC/RCP 1 – 1969, Rev. 3 (1997), – “A system, which

identifies, evaluates and controls hazards which are significantfor food safety.”

3.3.2 HACCP guidelines developed and managed by theNational Advisory Committee on Microbiological Criteria forFoods (NACMCF). Hazard Analysis and Critical Control

Point Principles and Application Guidelines, adopted August14, 1997. - “A systematic approach to the identification,evaluation, and control of food safety hazards.”

3.4 HACCP Method: The implementation of Pre-requisitePrograms and the application of HACCP principles in thelogical sequence of the twelve steps as described in the currentedition of the CODEX Alimentarius Commission Guidelines,or the current edition of the HACCP guidelines developed andmanaged by the NACMCF. The SQF 2000CM Code utilizesthe HACCP Method to control food safety and other qualityhazards in the segment of the food chain under consideration.

3.5 High Risk Food: Food that has a significant likelihoodof causing illness or injury to a consumer if not properlyproduced, processed, distributed and/or prepared forconsumption, or food deemed high risk by a customer ordeclared high risk by the relevant food regulation.

3.6 Pre-requisite Program: A procedural measure thatreduces the likelihood of a food safety or a food quality hazardoccurring, but one that may not be directly related to activitiestaking place during production.

3.7 Recognized HACCP Training: A three-day HACCP

Principles and Applications training course for SQF Practitionersand SQF Auditors, that is in accordance with the current editionof the CODEX Alimentarius Commission and/or NACMCFHACCP Guidelines. The training is delivered by trainingproviders licensed by SQFI or its nominated agent (See “SQFProgram: Criteria for Training Bodies, Trainers and TrainingCourses”).

3.8 Recognized SQF Systems Training: A two-day trainingcourse for SQF Practitioners and SQF Auditors, designed toprovide detailed knowledge and understanding of requirementsapplicable to the implementation and auditing of the SQF

1000CM

Code or the SQF 2000CM

Code. The training isdelivered by training providers licensed by SQFI or its nominatedagent (See “SQF Program: Criteria for Training Bodies, Trainersand Training Courses”).

3.9 Recognized SQF Systems Awareness Training:A one-day training course designed for staff to increase theirunderstanding of the SQF 1000CM Code or the SQF 2000CM

Code and CODEX or NACMCF HACCP Principles. Thetraining course shall be delivered by training providers licensedby SQFI or its nominated agent (See “SQF Program: Criteriafor Training Bodies, Trainers and Training Courses”).

3.10 SQF: Means Safe Quality Food. The SQF 2000CM Codeutilizes the HACCP Method, its principles and concepts todefine and provide assurance of the safety and quality of food.

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3SQF 2000CM Code


3.11 SQF 2000CM Plan: A documented HACCP plan,covering a food or food group and its associated process thatincludes Pre-requisite Programs. It is prepared in accordancewith the HACCP Method, includes a Verification Scheduleand is developed, validated, verified and documented by a SQFPractitioner and implemented by a food business to assure food

safety and quality.

3.12 SQF Plan: Means either the SQF 1000CM Plan or theSQF 2000CM Plan as the case may be.

3.13 SQF Practitioner: An individual, registered by SQFIor its nominated agent, who is responsible for developing,validating, verifying and documenting HACCP Plans andimplementing SQF Systems. They shall have completedRecognized HACCP Training and Recognized SQF SystemsTraining and demonstrate proficiency and understanding of these subjects. They will have experience and a sound technicalknowledge of the product and the process under HACCP studyand a sound knowledge of the SQF Codes and how toimplement them.

3.14 SQF 2000CM System: A risk management and preventivesystem that encompasses the results of a SQF 2000CM Planimplemented and operated by a food business to assure foodsafety and quality. The System is designed by a SQFPractitioner, audited by a SQF Auditor and certified by alicensed certification body as meeting the requirement’s of theSQF 2000CM Code.

3.15 SQF System(s): Means either the SQF 1000CM System

or the SQF 2000CM System as the case may be.

3.16 Verification Schedule: A schedule outl ining thefrequency and responsibility for carrying out the methods,procedures or tests additional to those used in monitoring, todetermine that the SQF study was completed correctly, thatthe relevant SQF System is compliant with the relevant SQFPlan and that it continues to be effective.

4. SQF 2000CM

SystemRequirements

4.1 Commitment

4.1.1 Management Policy

The owner or most senior person shall define the businesscommitment to food safety, quality and continuousimprovementin a policy statement, which is relevant to the business goalsand customer needs and expectations. It shall be signed by theowner or most senior person, documented in the quality manualand understood by all members of the business.

4.1.2 Quality Manual

The business shall prepare a quality manual which outlines themethods the business will use to meet the requirements if thisCode.

4.1.3 Organizational Structure

The organizational reporting structure shall be described todetail those who have functional responsibility for continuousimprovement, food safety and quality and their interrelationship.Position job descriptions for individuals undertaking these

activities shall be prepared.

4.1.4 Training

Appropriate training shall be provided for personnel carryingout the tasks at the critical steps identified by the hazard analysis.Instructions shall be available setting out how these tasks areto be performed. At least one person in the business shall havecompleted Recognized SQF Systems Awareness Training. Atraining register describing who has been trained in relevantareas shall be maintained.

4.2 Specificat ions

4.2.1 Supplier Specifications

The business shall have documented specifications for all goodsand services purchased that impact on finished product safetyand quality. Supplier specifications shall define goods andservices in terms of their critical food safety and qualityparameters.

4.2.2 Incoming Goods and Services

The business shall provide documented evidence to show that

specified incoming goods and services have been inspectedbefore use or that they have originated from Approved Suppliers.

4.2.3 Finished Product Specifications

Written finished product specifications shall be approved andaccessible by relevant staff.

4.3 Control of P roduction

4.3.1 Process Control

To produce safe food and meet customer requirements a SQF2000CM Plan shall be prepared. The SQF 2000CM Plan shalloutline the measures taken to assure food safety and quality.

4.3.2 Corrective and Preventive Action

The business shall have a procedure that describes how it willundertake corrective and preventive action. The procedureshall outline the responsibility and the methods used toinvestigate and identify the cause and the resolution of violationsof critical limits that impact on food safety and quality. Recordsof corrective and preventive action shall be maintained.

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4SQF 2000CM Code


4.3.3 Non-Conforming product

A procedure outlining how non-conforming product identifiedduring receipt, storage, processing, packing, handling or deliveryis isolated and identified shall be provided. Non-conformingproduct or materials shall be handled and disposed of in such

a manner that minimizes the risk of mix-up, improper use orrisk to the integrity of finished product. Records of the disposalof non-conforming product shall be maintained.

4.3.4 Food Legislation (Regulations)

The business shall ensure that, at the time of delivery to thecustomer, the food supplied shall comply with the legislationthat applies to the food, its production or its manufacture inthe country of its origin and destination.

4.4 Verifica tion

4.4.1 Calibration

All measuring, test and inspection equipment used formonitoring activities outlined in the SQF 2000CM Plan, or todemonstrate compliance with customer requirements, shall beroutinely calibrated to recognized standards or to an accuracyappropriate to its use. The business shall document a procedurethat identifies who is responsible for all equipment calibrationand re-calibration. Records of equipment calibration and re-calibration shall be maintained.

4.4.2 Internal Audits

The business shall document its internal audit procedure andidentify who is responsible for scheduling and conductinginternal audits. The procedure shall include an audit scheduleand detail how internal audits will be conducted to verify theeffectiveness of the SQF 2000CM System and each SQF 2000CM

Plan to ensure activities comply with documented requirements.Those conducting internal audits shall be trained and wherepossible people independent of the area or function beingaudited shall conduct these internal audits. Records of internalaudits, and any corrective action taken as a result of internalaudits, shall be maintained.

4.4.3 System Review

The business shall document a procedure and identify who hasresponsibility for completing reviews of the SQF 2000CM

System and each SQF 2000CM Plan. The SQF 2000CM Systemand each SQF 2000CM Plan shall be reviewed at least annually.A SQF 2000CM Plan shall be reviewed when a major changeto a product formulation, its process, process controls or anyother factor that impacts on food safety and quality arise.Changes to a SQF 2000CM Plan shall be developed, validated,verified and documented by a SQF Practitioner. All reviewsand changes to the SQF 2000CM System and each SQF 2000CM

Plan shall be documented.

4.4.4 Customer Complaints

The business shall document a procedure for handling customercomplaints and identify who is responsible for investigatingthe cause and resolution of customer complaints. Customercomplaints shall be handled efficiently and effectively and

records of customer complaints and their investigations shallbe maintained.

4.5 Document Control a nd Records

4.5.1 Document Control

A list of documents and amendments to documents shall bemaintained to identify the current document in use.

4.5.2 Records

Legible records demonstrating that essential production orprocess inspections or tests identified in the SQF 2000CM Planhave been completed shall be maintained. Records shall bestored to prevent their damage and deterioration. All recordsshall be retained for a minimum period of one year to enableeffective internal and external auditing of the SQF 2000CM

System. Record retention shall also meet periods specified bya customer or legislation (regulation).

4.6 Product Identifica tion, Trace and Recall

4.6.1 Product Identification

Finished product shall be clearly identified to the customerspecification, regulatory requirements and include the SQF2000CM Code certified business number and the name of thecertification body. The product identification system shall bedocumented. Product identification records shall be maintained.

4.6.2 Product Trace

Finished product shall be traceable to the customer. The producttrace system shall be documented in a procedure andresponsibilities defined. It shall provide for the identificationof raw materials and other inputs that may have an impact on

finished product quality and safety, and that these raw materialsand other inputs are traceable through the process to the finishedproduct. Records of product dispatch and destination shall bemaintained.

4.6.3 Product Recall

A product recall system shall be documented in a procedure inwhich the responsibilities, management and protocols to beimplemented are clearly described. The product recall systemshall be tested and verified. Records of all product recalls shallbe maintained.

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5SQF 2000CM Code


Implementing a S QF 2000CM System

SQF 2000CM Plans are developed, validated, verified and

documented by a SQF Practitioner. The Certification Bodywill require evidence of this. All SQF Practitioners are certifiedby the SQF Institute in a particular food sector category andare issued with an identity card to indicate the sectors in whichthey are qualified to work.

SQF Practitioners wishing to provide a consultant service arerequired to obtain a license from the SQF Institute beforeoffering their services. A “Consultant SQF Practitioner Codeof Practice” has been prepared outlining the practices expectedof consultants and to minimize the risks to clients of a consultant’spoor performance. Clients are expected to exercise appropriatedue diligence when selecting and engaging a consultant.

The SQF Institute also requires that a SQF Practitioner whodevelops a SQF 2000CM Plan and a SQF 2000CM System forthe production, handling, manufacture or distribution of a

High Risk Food is subject to independent panel review todetermine their capability to work in this area.

These arrangements are designed to maintain the integrity of

the SQF Program by ensuring qualified SQF Practitioners,who have sound technical knowledge and experience of thecommodity and the process under study, develop SQF Systems.

The SQF Institute licenses training organizations to deliverrecognized training courses. The SQF Institute has prepareddocuments “SQF Program: Certification Criteria for SQFPractitioners” and “SQF Program: Criteria for TrainingBodies, Trainers and Training Courses”. They describe thequalification requirements for SQF Practitioners, SQF Auditors,HACCP Trainers and the requirements and objectives for SQFTraining Courses.

Appendix 1

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6SQF 2000CM Code


P rinc iples &Applica tion of HACC P

(Adapted from Codex Alimentarius Commission – FoodHygiene Guidelines see Codex 2000)

Appendix 2

1. Assem ble H AC C P team w ith expertise in product and processes

2. D escribe product

3. Identify intended use

4. C onstruct flow diagram

5. C onfirm flow diagram against process in operation (or planned process)

Preliminary Steps

6. List all potential hazards associated w ith each step and consider any

m easures to control identified hazards

7. D eterm ine C C P’s

8. Establish critical lim its and tolerance levels. D eterm ine at w hat point critical

lim it is exceeded based on know n lim its or risk assessm ent if unknow n.

9. Establish a m onitoring system for C C P that is able to detect loss of control

i.e. w hen critical lim its are exceeded. C onsider continuous m onitoringand/or periodic audit.

10.Establish corrective actions that are able to deal w ith loss of control w hen

it occurs and is capable of determ ining w hen C C P has been brought

under control.

11.Establish procedures for verification or audit that include review of H AC C P

system and records, records of deviations and actions taken in order to

confirm that C C P’s are kept under control

12.D ocum entation and record keeping should be appropriate to the nature

and scale of the operation

HACCP Principle HACCP Application

1 C on duct a hazard analysis

2 D eterm ine C ritical C ontrol Points

(C C P’s)

3 Establish critical lim it(s)

4 Establish system to m onitor

control of C C P(s)

5 Establish corrective action

to be taken w hen m onitoring

indicates C C P(s) are not under

control

6 Establish procedures for

verification to confirm that the

H AC C P system is w orking

effectively.

7 Establish docum entation

covering all procedures and

records appropriate to theseprinciples and their application

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7SQF 2000CM Code


Certifying S QF 2000C M Systems

Certification bodies licensed by the SQFI conductcert ification. Cert ification bodies are required to meet

specific criterion. The SQFI has prepared a document, “SQFProgram: General requirements for bodies operatingassessment and certification/registration of SQF Systems”to outline the requirements expected of SQF Auditors andCertification Bodies.

In addition auditors are required to meet a specified individualcriterion that includes:

1. Completion of recognized HACCP and SQFSystems Training

2. Experience in the food sector being audited3. Auditing qualifications and experience4. Registration as a SQF Food Safety Auditor with

the SQF Institute or its nominated agent.

The SQF Institute also requires that a SQF Auditor whoaudits SQF 2000CM Systems involving the production,handling, manufacture or distribution of a High Risk Foodbe subject to independent panel review, if necessary, todetermine their capability to audit this sector of the foodindustry.

Following a certification audit, maintenance audits areconducted bi-annually. For High Risk food audits are

conducted at four monthly intervals. Where seasonalconditions apply, one comprehensive maintenance audit maybe conducted during the main part of the season. Auditfrequency may be reduced after the first three years if thebusiness demonstrates a good audit history. Re certificationaudits are conducted every three years.

Certification Bodies will have more detailed informationregarding audit frequency and audit requirements.

Conflict of Interest

Conflict of interest provisions form part of internationallyaccepted procedures and standards* to ensure the impartiality

of the SQF Auditor is maintained and to maintain theintegrity of the third party audit system. The SQF Auditormust disclose to the Certification Body any existing, formeror proposed link between themselves or their organizationand the client.

The SQF Program outline requirements for auditors andcertification Bodies to ensure that there is no conflict of interest in regard to the way in which SQF Auditors undertakeaudits of SQF Systems. The Certification Body is requiredto ensure that their auditors will not audit SQF Systems thatrelate to or include food industry categories that the SQFAuditor is not competent to audit.

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

1. Producing or preparing SQF Plans, manuals, handbooks or procedures

2. Participating in the decision making process regard-ing SQF Systems

3. Giving advice - as a consultant or otherwise – towardthe design, development, validation, verification,implementation or maintenance of SQF Systems.

Appendix 3

*I SO/IEC Guide 62:1996 – Gui de 62: General requirements for bodies operating assessment and cert i fi cati on/registrati on of qual i ty systems.

* I SO/I EC Gui de 65: 199 6 – Gui de 65: General requi rement s for bodi es operat i ng product cert i fi cati on systems.Licensedto




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8SQF 2000CM Code


S QF 2000CM Certific a tionTrade Mark - Rules for Us e

The SQF 2000CM Certification Trade Mark can be used bya business on product and on business documents that areused for public display. SQFI has prepared a document“SQF 2000CM Certification Trade Mark - Rules for Use”to outline how this Certification Trade Mark is to be usedand which is provided as a supplementary document to thisEdition.

Appendix 4

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Rules For Use6th Edition, August 2001

SQ F 2000C M C ERTIFIC ATIO N TRAD E M ARKS

InstituteS Q FPublished by:

SQ F Institute S .A.R ue du G rand-C hêne 6

1003 Lausanne

Sw itzerlandLicensedto




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Contents

Contents..........................................................................................................................................................2

1. Definition................................................................................................................................................... 3

2. Introduction .............................................................................................................................................3

3. Conditions for Using the SQF 2000 Certification Trade Mark .................................................................4

4. Reproduction of the SQF 2000 Certification Trade Mark .........................................................................4

5. Obligations of a Certified Business............................................................................................................4

6. Grounds for Suspending or Withdrawing the Use of the SQF 2000 Certification Trade Mark ..................4

7. Right Of Appeal........................................................................................................................................5

8. Notices......................................................................................................................................................5

9. Miscellaneous............................................................................................................................................5

Schedule 1 Reproduction requirements ................................................................................................6

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SQF 2000 Certification Trade Mark Rules For Use


1 DEFINITIONS

In these rules unless anything in the context is inconsistent:

(a) AGWEST means the Chief Executive Officer of the

Department of Agriculture, a body corporate formedunder the provisions of the Agriculture Act 1988 (WA), or its nominated agent.

(b) Certi ficate of Registrationmeans the certificate, whichincludes a Registration Schedule, issued by a LicensedCertification Body to a Certified Business attesting tothe certification of the Certified Business.

(c) certificationmeans certification by a Licensed CertificationBody of a Certified Business’ quality management systemas complying with the SQF 2000CM Code following a

certification audit, and certi fied andcerti fyingshall havea corresponding meaning.

(d) Certified Business means any food business involved inthe production, manufacture, processing, transport,storage, distribution or sale of food, beverages, packagingor fibre the quality management systems of which havebeen certified.

(e) Licensed Certification Body or LCB means an entity whichhasentered into a license agreement with SQFI authorising

it to undertake or perform one or more of the powersor functions of SQFI referred to in these Rules, includingauditing and certifying the quality management systemsof Certified Businesses.

(f) quali ty management systems means the organizationalstructure, procedures, processes and resources needed toimplement quality management.

(g) Registration Schedule means the portion of the Certificateof Registration setting out, among other things, thenature and extent of the rights of use of the SQF 2000

Certification Trade Mark granted to the Certified Business.

(h) Rulesmeans the rules and procedures contained in thisdocument, and includes the Schedule and anymodification, variation or replacement of this document.

(i) SQF 2000 Certification Trade Markmeans the lettersand numerals “SQF 2000” and the logos depicted inSchedule 1.

(j) SQFI means SQF Institute S.A., a company incorporated

in Switzerland and licensed by AGWEST to control,manage, develop and promote the SQF Program.

2 INTRODUCTION

2.1 The SQF 2000 Certification Trade Mark are owned byAGWEST and the SQFI.

2.2 Certified Businesses will have the right to use the SQF2000 Certification Trade Mark upon and for the duration of certification. There will be no fee payable by Certified Businessesfor the right to use the SQF 2000 Certification Trade Mark,other than fees payable to obtain certification.

2.3 Certified Businesses obtain no property in the SQF 2000Certification Trade Mark.

2.4 Certified Businesses may only use the SQF 2000Certification Trade Mark in accordance with these Rules, whichare designed to protect the integrity and enhance the value of

the SQF 2000 Certification Trade Mark.

2.5 To protect the SQF 2000 Certification Trade Mark,applications have been filed with intellectual propertyorganisations around the world.

2.6 SQFI may delegate any or all of its functions describedherein to a Licensed Certification Body (hereinafter referred toas an “LCB”).

2.7 These Rulesregulate the use of the SQF 2000 Certification

Trade Mark by Certified Businesses only. These Rules do notregulate the use of the SQF 2000 Certification Trade Markby SQFI, LCB’s or other entities licensed by SQFI to usethem, unless otherwise provided for in this or anotherinstrument.

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3 CONDITIONS FOR USINGTHE SQF 2000 CERTIFICATIONTRADE MARK

3.1 A Certified Business shall, for the duration of itscertification, prove to the satisfaction of SQFI or the LCB that

its quality system satisfies the requirements set forth in thecurrent edition of the SQF 2000 Code; and

3.2 A Certified Business must only use the SQF 2000Certification Trade Mark in accordance with its Certificate of Registration and these Rules.

4 REPRODUCTION OF THE SQF2000 CERTIFICATIONTRADE MARK

4.1 If a Certified Business wishes to reproduce the SQF

2000 Certification Trade Mark it must do so strictly in accordancewith the requirements and specifications set out in Schedule 1.

5 OBLIGATIONS OF ACERTIFIED BUSINESS

5.1 A Certified Business must –

a) comply fully with these Rules;

b) where it deals with both certified and uncertified goods,ensure that the SQF 2000 Certification Trade Mark

are only used in respect of certified goods and thatuncertified goods are clearly identified as such. Forexample, if a certified market agent or retailer receivesuncertified packaged apples from supplier A and certifiedpackaged apples from supplier B, these must be clearlydistinguished at the point of sale;

c) direct any queries regarding their intended use of theSQF 2000 Certification Trade Mark to an LCB;

d) discontinue any use of the SQF 2000 Certification TradeMark to which AGWEST and/or SQFI reasonably

object;e) operate entirely within the scope of its Certificate of

Registration, including the Registration Schedule.Subsidiary companies and site addresses not includedon the Certificate of Registration are not certified to usethe SQF 2000 Certification Trade Mark;

f) give SQFI, an LCB and/or their agents reasonable accessto examine the goods, products, wraps, packaging,containers, stationery, publicity material and all othersuch items bearing or indicating the SQF 2000Certification Trade Mark for the purpose of confirming

compliance with these Rules and the Certificate ofRegistration; and

g) pay within the specified time any fees set by SQFI and/oran LCB or as otherwise agreed to by the parties.

6 GROUNDS FOR SUSPENDINGOR WITHDRAWING THE USEOF THE SQF 2000

CERTIFICATION TRADE MARK 6.1 The permission for a Certified Business to use the SQF

2000 Certification Trade Mark will be:

(a) suspended if the Certified Business’ certification issuspended; and/or

(b) withdrawn if the Certified Business’ certification iswithdrawn, relinquished or not renewed.

6.2 A Certified Business’ certification may be suspended or

withdrawn on conditions to be notified to a CertifiedBusiness by the certifying LCB and which include (butare not necessarily limited to) if the Certified Business:

(a) fails to have the required audits of its quality managementsystem conducted or a ‘critical nonconformity’ is detectedat an audit and not corrected as directed by the LCB;

(b) breaches or fails to comply with these Rules;

(c) falsifies its records relating to a food safety critical controlpoint;

(d) fails to use the SQF 2000 Certification Trade Mark inaccordance with its Certificate of Registration, includingthe Registration Schedule;

(e) uses the SQF 2000 Certification Trade Mark in a waythat, in the opinion of SQFI or the LCB, is detrimentalto the SQF 2000 Certification Trade Mark or the SQFProgram as a whole, is misleading to the public orotherwise contrary to law; or

(f ) has an administrator, receiver, receiver and manager,official manager or provisional liquidator appointed

over its assets or where an order is made or a resolutionpassed for the winding up of the Certified Business(except for the purpose of amalgamation or reconstruction)or the Certified Business ceases to carry on business orbecomes bankrupt, applies to take the benefit of any lawfor the relief of bankrupt or insolvent debtors or makesany arrangement or composition with its creditors.

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6.3 Upon suspension of a Certified Business’ certificationthe Certified Businessmust stop using the SQF 2000 CertificationTrade Mark for the duration of the suspension and must at itsown expense isolate all goods, products, wraps, packaging,containers, stationery, publicity material and all other such itemsbearing or indicating the SQF 2000 Certification Trade Mark

during such period of suspension.

6.4 Upon withdrawal of a Certified Business’ certificationall goods, products, wraps, packaging, containers, stationery,publicity material and all other such items bearing or indicatingthe SQF 2000 Certification Trade Mark shall, at the CertifiedBusiness’ expense, be destroyed or disposed of, or be treated tohave the SQF 2000 Certification Trade Mark obliterated. TheCertified Business must also return to SQFI or its certifyingLCB its certificate of registration and computer disk or bromidecontaining the SQF 2000 Certification Trade Mark.

6.5 Upon withdrawal or during any period of suspension of a Certified Business’ certification the Certified Business shallnot, without the consent of SQFI, sell, or expose for sale, anygoods or services bearing the SQF 2000 Certification TradeMark.

7 RIGHT OF APPEAL

7.1 SQFI or the LCB shall give a Certified Business writtennotice of its decision to suspend or withdraw the CertifiedBusiness’ certification and shall provide together with suchnotice a copy of its appeal procedures. SQFI’s and the LCB’sappeal procedures must meet the requirements set out in

ISO/IEC Guide 62: 1996, General Requirements for BodiesOperating Assessment and Certification/Registration of QualitySystems, and ISO/IEC Guide 65: 1996, General Requirementsfor Bodies Operating Product Certification Systems, and/orsuch other guides of a similar nature as directed by SQFI fromtime to time.

7.2 A Certified Business may appeal against a decision tosuspend or withdraw its certification. Written notice of anappeal must be received by SQFI or the LCB within 14 daysof the date of the written notice of suspension or withdrawal(or such longer period as SQFI sees fit) and must set out the

grounds upon which the appeal is based.

7.3 After receiving the Certified Business’ notice of appeal,SQFI or the LCB must either:

(a) give notice to the Certified Business that it has reversedits decision to suspend or withdraw the Certified Business’certification; or

(b) refer the appeal to independent adjudication or arbitrationin accordance with its appeal procedures.

8 NOTICES

8.1 Any notice or other communication to be given or sentto SQFI or the Certified Business shall be deemed to be dulygiven or sent if sent by pre-paid post, e-mail or facsimiletransmission to the last known address of the party concerned.

9 MISCELLANEOUS

9.1 SQFI will keep a register, which is available for publicinspection during normal business hours, at its offices containing(in addition to any other particulars that may from time to timebe deemed necessary by SQFI) the names, addresses and mainbusiness activity of Certified Businesses and a description of goods and services in relation to which the Certified Businessesare authorised to use the SQF 2000 Certification Trade Mark,together with the date of registration of the Certified Businessesand particulars of any withdrawals or suspensions of the Certified

Businesses’ rights.

9.2 SQFI may from time to time alter these Rules or makenew rules but no such alteration or new rule shall affect the useof the SQF 2000 Certification Trade Mark by a CertifiedBusiness until 3 months have expired from the date the alterationor new rules are first published by SQFI in the publicationentitled “SQF News” or a similar publication or on an internetwebsite maintained by SQFI.

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SCHEDULE 1

REPRODUCTION REQUIREMENTS

1 Introduction

Certified Businesses are granted permission by SQFI to usethe SQF 2000 Certification Trade Mark, subject to the Rulesand the conditions set out hereunder.

The Certification Body must be identified in conjunctionwith the logo as shown.

Colour Format For use on

• pub licity m aterial includ ing brochures, advertisem ents and the like; or

• stationery including business cards and letterheads, signage, flags and vehicles

associated w ith certified services su ch as transp ort and delivery.

• goods or products for public display, such as w hen product is presented for

prom otional or retail purposes e.g.

i.) as a sticker or other label affixed to the goods or product; or

ii.) a product w rap.

• non-recyclable packaging or containers for goods or products intended for

retail display e.g. boxes, crates or the like.

Full C olour Reproduction: see PM S

colour form at set out at clause 3.2

hereunder

Single C olour R eproduction: blackand w hite or in the predom inantcolour of the C ertified B usiness’docum entation.

Single C olour Reproduction: blackor in the dom inant colour of thepackaging.

• stationery including cheques, facsim ile cover sheets, delivery

docke ts, invo ices, telep hone listings and the like .

• bulk pack goods or products, transported to the m arket or

intended for further processing and not intended for retail display.

C E

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2 Colour Reproduction of theSQF 2000 CertificationTrade Mark

Reproduction of the SQF 2000 Certification Trade Mark is

to be clear, precise and of the highest standard. The followingguidelines govern full colour reproduction. The acronym“HACCP” can be in black or white.

3 Wording In Lieu Of the Logo

A Certified Business may use the following wording in lieuof the Certification Trade Mark:

“( inser t name of Cer ti fi ed Business)” – an SQF 2000 CM

Qual i ty Cer ti fi ed Suppl ier No. (i nser t number i ssued by

the LCB) and Certi fi ed by (inser t name of Cer ti fi cati on

Body).”

The words must appear in the dominant colour of thepackaging.

4 Dimensions

The dimensions of the SQF 2000 Certification Trade Mark

is 47mm high by 35mm wide, as shown.

Variation to these dimensions is permitted provided thatany such variation is proportional to the above dimensionsand the letters and numerals on the logo remain clear andlegible.

5 Certification Numbers

The individual Certification Number issued to certifiedbusinesses must always be included as part of the SQF 2000Certification Trade Mark as follows:

6 Special Cases

Where it is demonstrated that alternative reproduction of the Certification Trade Mark, in addition to the colourvariations shown in this document, enhances the status of the Certification Trade Mark, e.g. a frosted imprint on awine bottle, then the alternative is permitted provided it isapproved by SQFI or i ts nominated agent

35m m

47m m

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Y

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0000

PM S W arm R ed PM S 123 C V

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InstituteS Q F

S QF Institute S .A.

R ue du G rand-C héne 6/4

1003 Lausanne

SW ITZERLAN D

Tel 41-(0)21-310-4890

Fax 41-(0)21-310-4899

www.s qfi.comLicensedto



sqf 2000 code sqf - a haccp quality code for the food indust

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