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5th EDITION JANUARY 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

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.

Copyright Food Marketing Institute 2009. All rights reserved


SQF 1000 Code - 5th Edition Jan 2010 Mod Jan 10
First published February 2000

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 Certification52

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

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

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2
SQF 1000 Code - 5th Edition Jan 2010 Mod Jan 10
First published February 2000

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 buyers 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 Suppliers 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 Suppliers 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
Suppliers 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 Producers 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.

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SQF 1000 Code - 5th Edition Jan 2010 Mod Jan 10
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LEVEL 1 LEVEL 2 (GFSI Recognition Level) LEVEL 3 (GFSI & Quality Management)
1. Scope 1. Scope 1. Scope
The SQF 1000 Code Level 1 outlines the general The SQF 1000 Code Level 2 outlines the general The SQF 1000 Code Level 3 outlines the general
food safety system requirements applied by a food safety system requirements applied by a food safety and quality system requirements
Primary Producer for: Primary Producer for: applied by a Primary Producer for:
1. Field packing of fresh produce; and 1. Field packing of fresh produce; 1. Field packing of fresh produce;
2. Pre-farm gate production, harvesting and 2. Pre-farm gate production, harvesting and 2. Pre-farm gate production, harvesting and
preparation of primary products intended for preparation of primary products intended for preparation, storage and transport of primary
further processing. further processing; and products intended for further processing; and
The scope of SQF 1000 is intended to be primary 3. For the supply of High Risk Foods. 3. The supply of High Risk Foods.
agricultural producers. Included in this scope for The scope of SQF 1000 is intended to be primary The scope of SQF 1000 is intended to be primary
application in produce is the grower/shipper/packer agricultural producers. Included in this scope for agricultural producers. Included in this scope for
who is packing self-grown product. application in produce is the grower/shipper/packer application in produce is the grower/shipper/packer
who is packing self-grown product. who is packing self-grown product.

High Risk Foods: Where a product is deemed High The SQF 1000 Code Level 3 can also be
Risk Food the Producer shall be required to Where any requirement(s) of this Code cannot be implemented by entities providing agricultural
implement an SQF 1000 System meeting the applied due to the type of production or product (a contract services to the Primary Producer.
requirements of Level 2 as a minimum. raw material that will be subject to further Note: Agricultural contract services includes the
Examples of High Risk Food include but are not Processing), this can be considered for exclusion. provision of cultivation, sowing, spraying and
limited to; Exclusions must be justified in writing to the harvesting of a crop, animal husbandry services
Certification Body and must not affect the and the storage and transport of a crop and live
1. Food Sector Category 3; Growing and
Producers ability, or responsibility, to supply animals or advice on the application of these
production of Fresh Produce (raw seed sprouts
product that meets the intent of this Code and services.
including bean sprouts and alfalfa sprouts); and
customer and regulatory requirements. Exclusions Where any requirement(s) of this Code cannot be
2. Food Sector Category 6; Harvest and Intensive are to be supported by a detailed risk analysis applied due to the type of production or product (a
Farming of Fish (oysters and mussels). outlining the basis for any exclusion or alternative raw material that will be subject to further
Where any requirement(s) of this Code cannot be control measure to demonstrate food safety and Processing), this can be considered for exclusion.
applied due to the type of production or product (a quality (level 3) is not compromised. Exclusions may also include other Clauses.
raw material that will be subject to further Exclusions must be justified in writing to the
Processing), this can be considered for exclusion. Certification Body and must not affect the
Exclusions must be justified in writing to the Producers ability, or responsibility, to supply
Certification Body and must not affect the product that meets the intent of this Code and
Producers ability, or responsibility, to supply customer and regulatory requirements. Exclusions
product that meets the intent of this Code and are to be supported by a detailed risk analysis
customer and regulatory requirements. Exclusions outlining the basis for any exclusion or alternative
are to be supported by a detailed risk analysis control measure to demonstrate food safety and
outlining the basis for any exclusion or alternative quality (level 3) is not compromised.
control measure to demonstrate food safety and
quality (level 3) is not compromised.

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SQF 1000 Code - 5th Edition Jan 2010 Mod Jan 10
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LEVEL 1 LEVEL 2 (GFSI Recognition Level) LEVEL 3 (GFSI & Quality Management)

2. References 2. References 2. References


The Code makes reference to the current edition The Code makes reference to the current edition The Code makes reference to the current edition
of the CODEX Alimentarius Commission of the CODEX Alimentarius Commission of the CODEX Alimentarius Commission
Guidelines for the Application of the Hazard Guidelines for the Application of the Hazard Guidelines for the Application of the Hazard
Analysis and Critical Control Point (HACCP) Analysis and Critical Control Point (HACCP) Analysis and Critical Control Point (HACCP)
System and the National Advisory Committee on System and the National Advisory Committee on System and the National Advisory Committee on
Microbiological Criteria for Foods (NACMCF) Microbiological Criteria for Foods (NACMCF) Microbiological Criteria for Foods (NACMCF)
Hazard Analysis and Critical Control Point Hazard Analysis and Critical Control Point Hazard Analysis and Critical Control Point
Principles and Application Guidelines, adopted Principles and Application Guidelines, adopted Principles and Application Guidelines, adopted
August 14, 1997. It also makes reference to the August 14, 1997. It also makes reference to the August 14, 1997. It also makes reference to the
SQF 1000 Code. SQF 1000 Code. SQF 1000 Code.

3. Definitions 3. Definitions 3. Definitions


For the purpose of this Code the definitions For the purpose of this Code the definitions For the purpose of this Code the definitions
outlined in SQF Program Vocabulary apply. outlined in SQF Program Vocabulary apply. outlined in SQF Program Vocabulary apply.
Note: Words starting with a Capital Letter Note: Words starting with a Capital Letter indicates Note: Words starting with a Capital Letter indicates
indicates that the word is further defined in this that the word is further defined in this Vocabulary. that the word is further defined in this Vocabulary.
Vocabulary.
Pack house a building which is entirely
Commercial packing The packing of
enclosed with a floor, walls and ceiling in
product that is grown by multiple farmers,
which produce is prepared for final customer
owners, or contract farmers independent of
package through inspection, rinsing, sorting,
the packing operation in a facility which may
washing, and boxing.
or may not be in close proximity to the fields
(food sector category 4).
Field shed - a temporary or permanent
structure adjacent to the field which is meant
Field packing The packing of product that
to prepare or pack produce for final customer
is grown by the owner, contract farmer and
packing. Inspection, sorting and boxing are
small number of closely associated growers
the activities occur within field shed.
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).

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5
SQF 1000 Code - 5th Edition Jan 2010 Mod Jan 10
First published February 2000

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

Copyright Food Marketing Institute 2009. All rights reserved


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SQF 1000 Code - 5th Edition Jan 2010Mod Jan 10
First published February 2000

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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SQF 1000 Code - 5th Edition Jan 2010Mod Jan 10
First published February 2000

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

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 The Producer shall provide evidence of its The Producer shall provide evidence of its
commitment to implement and maintain an commitment to implement and maintain an commitment to implement and maintain an
effective SQF 1000 System and to support its effective SQF 1000 System and to support its effective SQF 1000 System and to support its
ongoing improvement. ongoing improvement. 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, 4.1.1.1 The Producer shall, in a Policy Statement, 4.1.1.1 The Producer shall, in a Policy Statement,
outline a commitment to supply safe food and to outline a commitment to supply safe food and outline a commitment to supply safe, quality food,
comply with its customer and regulatory define the methods used to comply with its define the methods used to comply with its
requirements. The Policy Statement shall be: customer and regulatory requirements and to customer and regulatory requirements and
i. Signed by Senior Management; continually improve its food safety management continually improve its food safety and quality
systems. The Policy Statement shall be: management system. The Policy Statement shall
ii. Made available in language understood by all
i. Signed by Senior Management; be:
employees; and
ii. Made available in language understood by all i. Signed by Senior Management;
iii. Displayed in a prominent position and
communicated to all employees. employees; and ii. Made available in language understood by all
iii. Displayed in a prominent position and employees; and
communicated to all employees. iii. Displayed in a prominent position and
communicated to all employees.

4.1.2 Management Responsibility 4.1.2 Management Responsibility 4.1.2 Management Responsibility


4.1.2.1 The organizational reporting structure 4.1.2.1 The organizational reporting structure 4.1.2.1 The organizational reporting structure
describing those who have responsibility for food describing those who have responsibility for food describing those who have responsibility for food
safety shall be defined and communicated within safety shall be defined and communicated within safety and quality and their interrelationship shall
the organization. the organization. be defined and communicated within the
4.1.2.2 The Producer shall ensure adequate 4.1.2.2 The Producer shall ensure adequate organization.
resources are available to support the resources are available to support the 4.1.2.2 The Producer shall ensure adequate
development, implementation and maintenance of development, implementation, maintenance and resources are available to achieve its food safety
the SQF 1000 System. The Producer shall ongoing improvement of the SQF 1000 System. and quality objectives and to support the
designate an SQF Practitioner with responsibility The Producer shall designate an SQF Practitioner development, implementation and maintenance
and authority to: with responsibility and authority to: and ongoing improvement of the SQF 1000
i. Lead the development and implementation of i. Lead the development and implementation of System. The Producer shall designate an SQF
Food Safety Fundamentals outlined in 4.4.2; Food Safety Fundamentals outlined in 4.4.2; Practitioner with responsibility and authority to:
ii. Oversee the development, implementation, and the Food Safety Plan outlined in 4.4.3; i. Lead the development and implementation of
review and maintenance of the SQF 1000 ii. Oversee the development, implementation, Food Safety Fundamentals outlined in 4.4.2,
System; and review and maintenance of the SQF 1000 the Food Safety Plan outlined in 4.4.3 and the

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LEVEL 1 LEVEL 2 (GFSI Recognition Level) LEVEL 3 (GFSI & Quality Management)
iii. Take appropriate action to ensure the integrity System; and Food Quality Plan outlined in 4.4.4;
of the SQF 1000 System. iii. Take appropriate action to ensure the integrity ii. Oversee the development, implementation,
4.1.2.3 The Producer shall establish and of the SQF 1000 System. review and maintenance of the SQF 1000
implement the training needs of the organization. 4.1.2.3 The responsibility for establishing and System; and
implementing the training needs of the iii. Take appropriate action to maintain the
4.1.2.4 All employees shall be informed of their
organization shall be defined and documented. integrity of the SQF 1000 System.
responsibility to report food safety problems to
personnel with authority to initiate action. 4.1.2.4 All employees shall be informed of their 4.1.2.3 The responsibility for establishing and
responsibility to report food safety problems to implementing the training needs of the
personnel with authority to initiate action. organization shall be defined and documented.

4.1.2.5 Job descriptions for those responsible for 4.1.2.4 All employees shall be informed of their
food safety and quality shall be documented and responsibility to report food safety and quality
include provision to cover for the absence of key problems to personnel with authority to initiate
personnel 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 4.1.3.1 A Food Safety Manual shall be 4.1.3.1 A Food Safety and Quality Manual shall be
documented, made available to relevant documented, maintained made available to documented, maintained made available to
employees and include: relevant employees and include: relevant employees and include;
i. The Policy Statement and Organization i. The Policy Statement and Organization i. The Policy Statement and Organization Chart;
Chart; Chart; ii. The Scope of the Certification;
ii. The Scope of the Certification; ii. The Scope of the Certification; iii. A list of the products covered under the Scope
iii. A list of the products covered under the iii. A list of the products covered under the of Certification; and
Scope of Certification; and Scope of Certification; and iv. The written Food Safety Fundamentals, Pre-
iv. The written Food Safety Fundamentals, iv. The written Food Safety Fundamentals, requisite Programs, Food Safety Plans and
Pre-requisite Programs and other Pre-requisite Programs, Food Safety Plans and Food Quality Plans and other procedures and
documentation necessary to support the other documentation necessary to support the documentation necessary to support the
development, implementation, maintenance development, implementation, maintenance development, implementation, maintenance
and control of the SQF 1000 System. and control of the SQF 1000 System. and control of the SQF 1000 System.

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 4.1.4.1 The Producer shall be responsible for 4.1.4.1 The Producer shall be responsible for
reviewing the SQF 1000 System. reviewing the SQF 1000 System and documenting reviewing the SQF 1000 System and documenting
4.1.4.2 The SQF 1000 System in its entirety shall the review procedure. the review procedure.
be reviewed at least annually. 4.1.4.2 The SQF 1000 System in its entirety shall 4.1.4.2 The SQF 1000 System in its entirety shall

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SQF 1000 Code - 5th Edition Jan 2010Mod Jan 10
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LEVEL 1 LEVEL 2 (GFSI Recognition Level) LEVEL 3 (GFSI & Quality Management)

4.1.4.3 Food Safety Fundamentals outlined in be reviewed at least annually. be reviewed at least annually.
4.4.2 shall be reviewed when any changes 4.1.4.3 Food Safety Fundamentals outlined in 4.1.4.3 Food Safety Fundamentals outlined in
implemented have an impact on the Producers 4.4.2 and Food Safety Plans shall be reviewed 4.4.2, Food Safety Plans and Food Quality Plans
ability to deliver safe food. when any changes implemented have an impact on shall be reviewed when any changes implemented
4.1.4.4 The SQF Practitioner shall be responsible the Producers ability to deliver safe food. have an impact on the Producers ability to deliver
for validating any changes to Food Safety 4.1.4.4 The SQF Practitioner shall be responsible safe, quality food.
Fundamentals outlined in 4.4.2 that have an for validating any major changes to Food Safety 4.1.4.4 The SQF Practitioner shall be responsible
impact on the Producers ability to deliver safe Fundamentals outlined in 4.4.2 and Food Safety for validating any major changes to Food Safety
food. Plans that have an impact on the Producers ability Fundamentals outlined in 4.4.2, Food Safety Plans
Note: The Producer can utilize the services of an to deliver safe food. and Food Quality Plans that have an impact on the
SQF Consultant to assist in the validation and Note: The Producer can utilize the services of an Producers ability to deliver safe food.
verification activities outlined in 4.1.4.4. SQF Consultant to assist in the validation and Note: The Producer can utilize the services of an
4.1.4.5 Records of all reviews and changes to the verification activities outlined in 4.1.4.4. SQF Consultant to assist in the validation and
SQF 1000 System shall be maintained. 4.1.4.5 Records of all reviews and changes to the verification activities outlined in 4.1.4.4.
SQF 1000 System shall be maintained. 4.1.4.5 Records of all reviews and changes to the
SQF 1000 System shall be maintained.

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 4.1.5.1 The methods and responsibility for
handling and investigating the cause and resolution handling and investigating the cause and
of customer complaints shall be documented and resolution of customer complaints shall be
implemented. documented and implemented.
4.1.5.2 Records of customer complaints and their 4.1.5.2 Records of customer complaints and their
investigations shall be maintained. 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 4.2.1.1 The methods and responsibility for 4.2.1.1 The methods and responsibility for
documents shall be maintained, safely stored and maintaining document control shall be documented maintaining document control shall be documented
readily accessible. and implemented. and implemented.
4.2.1.2 A register of current SQF 1000 System 4.2.1.2 A register of current SQF 1000 System
documents and amendments to documents shall be documents and amendments to documents shall be
maintained. Documents shall be safely stored and maintained. Documents shall be safely stored and
readily accessible. 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 4.2.2.1 All records shall be legible and signed and 4.2.2.1 The methods and responsibility for
dated by those undertaking monitoring activities to dated by those undertaking monitoring activities to undertaking monitoring activities, verifying,

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LEVEL 1 LEVEL 2 (GFSI Recognition Level) LEVEL 3 (GFSI & Quality Management)
demonstrate inspections, analyses and other demonstrate inspections, analyses and other maintaining and retaining records shall be
essential activities have been completed. essential activities have been completed. documented and implemented.
4.2.2.2 Records shall be securely stored to 4.2.2.2 Records shall be securely stored to prevent 4.2.2.2 All records shall be legible, signed and
prevent damage and deterioration and shall be damage and deterioration and shall be retained in dated by those undertaking monitoring activities to
retained in accordance with periods specified by a accordance with periods specified by a customer or demonstrate that inspections, analyses and other
customer or legislation (regulation). legislation (regulation). essential activities have been completed.
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 4.3.1.1 Specifications for raw materials purchased 4.3.1.1 Specifications for raw materials purchased
that impact on finished product safety shall be that impact on finished product safety shall be that impact on finished product safety and quality
documented and kept current. documented and kept current. shall document and keep current.
Note: Raw materials include but are not limited to 4.3.1.2 A register of raw material specifications 4.3.1.2 A register of raw material specifications
ingredients, chemicals, antibiotics, seed, cultivars, shall be maintained. shall be maintained.
premix compounded and medicated animal feed Note: Raw materials include but are not limited to Note: Raw materials include but are not limited to
and soil amendments (chemical and organic). ingredients, chemicals, antibiotics, seed, cultivars, ingredients, chemicals, antibiotics, seed, cultivars,
premix compounded and medicated animal feed premix compounded and medicated animal feed
and soil amendments (chemical and organic). and soil amendments (chemical and organic).

4.3.2 Packaging 4.3.2 Packaging 4.3.2 Packaging


4.3.2.1 Specifications for all packaging materials 4.3.2.1 Specifications for all packaging materials 4.3.2.1 Specifications for all packaging materials
that impact on finished product safety shall be that impact on finished product safety shall be that impact on finished product safety and quality
provided, comply with the relevant legislation and provided and comply with the relevant legislation. shall be provided and comply with the relevant
kept current. 4.3.2.2 The functionality of packaging material legislation.
shall be validated to ensure product safety is not 4.3.2.2 The methods and responsibility for
compromised and the material is fit for its intended developing and approving detailed specifications
purpose and suitable for use. and labels for all packaging shall be documented.
4.3.2.3 A register of packaging specifications and 4.3.2.3 The functionality of packaging material
label approvals shall be maintained and kept shall be validated to ensure product safety and
current. 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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LEVEL 1 LEVEL 2 (GFSI Recognition Level) LEVEL 3 (GFSI & Quality Management)

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 4.3.3.1 Specifications for contract services that 4.3.3.1 Specifications for contract services that
impact on finished product safety shall be impact on finished product safety shall be impact on finished product safety and quality shall
documented, current, include a full description of documented, current, include a full description of be documented, current, include a full description
the service to be provided and detail relevant the service to be provided and detail relevant of the service to be provided and detail relevant
training requirements of contract personnel. training requirements of contract personnel. training requirements of contract personnel.
Note: Contract Services include but are not limited 4.3.3.2 A register of all contract service 4.3.3.2 A register of all contract service
to pest control contractors, harvesting contractors, specifications shall be maintained. specifications shall be maintained.
spray contractors, crop protection plan Note: Contract Services include but are not limited Note: Contract Services include but are not limited
development consultants, animal health plan to pest control contractors, harvesting contractors, to pest control contractors, harvesting contractors,
development consultants and transport spray contractors, crop protection plan spray contractors, crop protection plan
contractors. development consultants, animal health plan development consultants, animal health plan
development consultants and transport development consultants and transport
contractors. 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 4.3.4.1 Finished product specifications shall be 4.3.4.1 Finished product specifications shall be
documented, current, formally agreed with the documented, current, formally agreed with the documented, current, formally agreed with the
customer, and accessible to relevant employees. customer, and accessible to relevant employees. customer, and accessible to relevant employees.
Note: Finished product Specifications can also 4.3.4.2 A register of finished product specifications 4.3.4.2 A register of finished product specifications
include production by-products that are used for shall be maintained. shall be maintained.
further processing E.g. reject apples for the Note: Finished product Specifications can also Note: Finished product Specifications can also
manufacture of apple juice. include production by-products that are used for include production by-products that are used for
further processing E.g. reject apples for the further processing E.g. reject apples for the
manufacture of apple juice production. 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 The Producer shall ensure that, at the time of The Producer shall ensure that, at the time of
delivery to its customer, the product supplied shall delivery to its customer, the product supplied shall delivery to its customer, the product supplied shall
comply with the food safety legislation that applies comply with the food safety legislation that applies comply with the food safety legislation that applies
to the product and its production in the country of to the product and its production in the country of to the product and its production in the country of
its origin and destination. its origin and destination. its origin and destination.
Note: In addition to meeting food safety standards Note: In addition to meeting food safety standards Note: In addition to meeting food safety standards
outlined in the legislation Producers will also need outlined in the legislation Producers will also need outlined in the legislation Producers will also need
to demonstrate compliance with legislative to demonstrate compliance with legislative to demonstrate compliance with legislative
requirements applicable to trade weights and requirements applicable to trade weights and requirements applicable to trade weights and

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LEVEL 1 LEVEL 2 (GFSI Recognition Level) LEVEL 3 (GFSI & Quality Management)
measures, Minimum Regulatory Limits (MRLs), measures, Minimum Regulatory Limits (MRLs), measures, Minimum Regulatory Limits (MRLs),
packaging (if used), product description and packaging (if used), product description and packaging (if used), product description and
related labeling declarations. related labeling declarations. 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 Senior management shall make provision to ensure Senior management shall make provision to ensure
fundamental food safety practices are adopted and fundamental food safety practices are adopted and fundamental food safety practices are adopted and
maintained. maintained. maintained.
4.4.2.1 The property, buildings and equipment 4.4.2.1 The property, buildings and equipment 4.4.2.1 The property, buildings and equipment
shall be located, constructed and designed to shall be located, constructed and designed to shall be located, constructed and designed to
facilitate the proper production, handling and facilitate the proper production, handling and facilitate the proper production, handling and
storage of safe product. storage of safe product. storage of safe product.
Note 1: The requirements outlined in clause Note 1: The requirements outlined in clause Note 1: The requirements outlined in clause
4.4.2.1 are further described in detail under 4.4.2.1 are further described in detail under 4.4.2.1 are further described in detail under
Section 5.0. Section 5.0. Section 5.0.
4.4.2.2 An analysis of the hazards associated with 4.4.2.2 An analysis of the hazards associated with 4.4.2.2 An analysis of the hazards associated with
the site and the source, storage and use of the site and the source, storage and use of the site and the source, storage and use of
production inputs that may impact on the production inputs that may impact on the production inputs that may impact on the
Producers ability to deliver safe product shall be Producers ability to deliver safe product shall be Producers ability to deliver safe product shall be
undertaken and control measures implemented. undertaken and control measures implemented. undertaken and control measures implemented.
4.4.2.3 Critical limits associated with the control 4.4.2.3 Critical limits associated with the control 4.4.2.3 Critical limits associated with the control
measures identified in 4.4.2.2 shall be validated measures identified in 4.4.2.2 shall be validated measures identified in 4.4.2.2 shall be validated
and verified by the SQF Practitioner. and verified by the SQF Practitioner. and verified by the SQF Practitioner.
Note 2: The Supplier can utilize the services of an Note 2: The Supplier can utilize the services of an Note 2: The Supplier can utilize the services of an
SQF Consultant to assist in the validation and SQF Consultant to assist in the validation and SQF Consultant to assist in the hazard analysis,
verification activities outlined in 4.4.2.2/3. verification activities outlined in 4.4.2.2/3. validation and verification activities outlined in
4.4.2.4 Those Pre-requisite Programs applicable 4.4.2.4 Those Pre-requisite Programs applicable to 4.4.2.2/3.
to the Scope of Certification that outline the means the Scope of Certification that outline the means by 4.4.2.4 Those Pre-requisite Programs applicable to
by which food safety is controlled and assured which food safety is controlled and assured shall be the Scope of Certification that outline the means
shall be documented and implemented. documented and implemented. by which food safety is controlled and assured
Note 3: The Pre-requisite Program requirements Note 3: The Pre-requisite Program requirements shall be documented and implemented.
outlined in this clause 4.4.2.4 are further outlined in this clause 4.4.2.4 are further Note 3: The Pre-requisite Program requirements
described in detail under Section 6.0. described in detail under Section 6.0. outlined in this clause 4.4.2.4 are further
4.4.2.5 Pre-requisite Programs shall be validated 4.4.2.5 Pre-requisite Programs shall be validated described in detail under Section 6.0.
and verified as described in 4.5. and verified as described in 4.5. 4.4.2.5 Pre-requisite Programs shall be validated
Note 4: The Supplier can utilize the services of an Note 4: The Supplier can utilize the services of an and verified as described in 4.5.
SQF Consultant to assist in the validation and SQF Consultant to assist in the validation and Note 4: The Supplier can utilize the services of an
verification activities outlined in 4.4.2.5. verification activities outlined in 4.4.2.5. SQF Consultant to assist in the validation and
verification activities outlined in 4.4.2.5.

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

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 4.4.3.1 A Food Safety Plan outlining the means by
which the Producer will control and assure food which the Producer will control and assure food
safety shall be prepared. The Food Safety Plan safety shall be prepared. The Food Safety Plan
shall outline the results of a hazard analysis shall outline the results of a hazard analysis
conducted to identify food safety hazards conducted to identify food safety hazards
(including allergens and other contaminants). It (including allergens and other contaminants). It
shall prescribe the measures taken to apply those shall prescribe the measures taken to apply those
critical controls implemented to assure, monitor critical controls implemented to assure, monitor
and maintain food safety. The Food Safety Plans and maintain food safety. The Food Safety Plans
shall: shall:
i. Be prepared in accordance with the HACCP i. Be prepared in accordance with the HACCP
Method; and Method; and
ii. Cover a product (e.g. a crop, produce, ii. Cover a product (e.g. a crop, produce,
livestock, aquaculture or fishery) and its livestock, aquaculture or fishery) and its
production, and production, and
iii. Include documented Standard Operating iii. Include documented Standard Operating
Practices (SOPs) and Work Instructions (WIs) Practices (SOPs) and Work Instructions (WIs)
applicable to the organizations Scope of applicable to the organizations Scope of
Certification. Certification.
Note 1: A Reference Food Safety Plan developed by Note 1: A Reference Food Safety Plan developed by
a responsible authority can be used as the basis for a responsible authority can be used as the basis for
the preparation of the Producers Food Safety Plan. the preparation of the Producers Food Safety Plan.
However the Producer must ensure the Food Safety However the Producer must ensure the Food Safety
Plan implemented reflects those production Plan implemented reflects those production
activities carried out. activities carried out.
4.4.3.2 Food Safety Plans Shall be effectively 4.4.3.2 Food Safety Plans Shall be effectively
developed, implemented and maintained; and developed, implemented and maintained; and
validated and verified as described in 4.5. validated and verified as described in 4.5.
Note 2: The Producer can utilize the services of an Note 2: The Producer can utilize the services of an
SQF Consultant to assist the validation and SQF Consultant to utilize the validation and
verification activities outlined in 4.4.3.2. verification activities outlined in 4.4.3.2.

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

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LEVEL 1 LEVEL 2 (GFSI Recognition Level) LEVEL 3 (GFSI & Quality Management)
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;
ii. Cover a product (e.g. a crop, produce,
livestock, aquaculture or fishery) and its
production;
iii. Include documented Standard Operating
Practices (SOPs) and Work Instructions (WIs)
applicable to the organizations Scope of
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.
Note 2: The Producer can utilize the services of an
SQF Consultant to utilize the validation and
verification activities outlined in 4.4.4.2.

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

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 4.4.5.1 Raw materials and services that impact on 4.4.5.1 Raw materials and services that impact on
on finished product safety shall be inspected or finished product safety shall be inspected or finished product safety and quality shall be
analyzed before use in emergency circumstances analyzed before use in emergency circumstances inspected or analyzed before use in emergency
or supplied by an Approved Supplier. or supplied by an Approved Supplier. circumstances or supplied by an Approved
4.4.5.2 Inspections and analyses shall conform to 4.4.5.2 Inspections and analyses shall conform to Supplier.
the requirements outlined in 4.5. the requirements outlined in 4.5. 4.4.5.2 Inspections and analyses shall conform to
4.4.5.3 The selection, approval and monitoring of the requirements outlined in 4.5.
Approved Suppliers shall conform to the 4.4.5.3 The selection, approval and monitoring of
requirements outlined in 6.11. 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 4.4.6.1 The responsibility and methods outlining 4.4.6.1 The responsibility and methods outlining
controlled. how Corrections and Corrective Action is managed how Corrections and Corrective Action is managed
4.4.6.2 Records of Corrective Action taken shall and controlled shall be documented and and controlled shall be documented and
be maintained. implemented. implemented.
4.4.6.2 Records of all investigation and resolution 4.4.6.2 Records of all investigation and resolution
of Corrections and Corrective Action shall be of Corrections and Corrective Action shall be
maintained. 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 4.4.7.1 The responsibility and methods outlining 4.4.7.1 The responsibility and methods outlining
and disposed of in a manner that minimizes the how non-conforming product identified during how non-conforming product identified during
risk of inadvertent use, improper use or risk to the receipt, storage, growing, packing, handling or receipt, storage, growing, packing, handling or
integrity of finished product. delivery is isolated and identified shall be delivery is isolated and identified shall be
4.4.7.2 Records of the handling and disposal of documented and implemented. The procedure documented and implemented. The procedure
non-conforming product are maintained. must document the grower, field name, quantity must document the grower, field name, quantity
and final disposition of the unacceptable materials and final disposition of the unacceptable materials
when applicable. The methods applied shall when applicable. The methods applied shall
ensure: ensure:
i. Non-conforming product or equipment is i. Non-conforming product or equipment is
identified, handled and disposed of in a manner identified, handled and disposed of in a
that minimizes the risk of inadvertent use, manner that minimizes the risk of inadvertent
improper use or risk to the integrity of finished use, improper use or risk to the integrity of
product; and finished product; and
ii. Records of the handling and disposal of non- ii. Records of the handling and disposal of non-
conforming product are maintained. conforming product are maintained.

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

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 4.5.1.1 Verification activities outlined in 4.5 shall be 4.5.1.1 Verification activities outlined in 4.5 shall be
the responsibility of the SQF Practitioner. the responsibility of the SQF Practitioner. the responsibility of the SQF Practitioner.
4.5.1.2 The frequency and methods used to 4.5.1.2 The frequency and methods used to verify 4.5.1.2 The frequency and methods used to verify
validate and verify critical limits established for critical limits established for those hazards critical limits established for those hazards
those hazards associated with the source, storage associated with the source, storage and use of associated with the source, storage and use of
and use of production inputs, and the application production inputs, and the application of Pre- production inputs, and the application of Pre-
of Pre-requisite Programs shall be documented and requisite Programs shall be documented and requisite Programs shall be documented and
implemented. implemented. implemented.
4.5.1.3 Records of all verification activities shall be 4.5.1.3 The frequency and methods used to verify 4.5.1.3 The frequency and methods used to verify
maintained. that each critical control point and other food that each critical control point and other food
safety controls identified in Food Safety Plans achieve safety and quality controls identified in Food Safety
their intended purpose, and are controlled as Plans and Food Quality Plans achieve their intended
designated shall be documented and implemented. purpose, and are controlled as designated shall be
Also SQF Practitioner must confirm that: documented and implemented. Also SQF
i. Verification that inspection, tests and Practitioner must confirm that:
analysis occurred as planned and that a i. Verification that inspection, tests and
responsible person reviewed the results and analysis occurred as planned and that a
initiated corrective action as required; and responsible person reviewed the results and
ii. Verification that monitoring activities are initiated corrective action as required; and
carried out as planned. ii. Verification that monitoring activities are
4.5.1.4 Records of all verification activities shall be carried out as planned.
maintained. 4.5.1.4 Records of all verification activities shall be
maintained.

4.5.2 Validation 4.5.2 Validation 4.5.2 Validation


4.5.2.1 The validation of critical limits established 4.5.2.1 The frequency and methods used for 4.5.2.1 The frequency and methods used for
for those hazards associated with the source, validation of the critical limits established for those validation of the critical limits established for those
storage and use of production inputs and the hazards identified in Food Safety Fundamentals, hazards identified in Food Safety Fundamentals,
correct application of Pre-requisite Programs, and Pre-requisite Programs, Food Safety Plans and Pre-requisite Programs, Food Safety Plans, Food
other food safety controls shall be undertaken. other food safety controls established shall be Quality Plans and other food safety and quality
documented and implemented. controls established shall be documented and
4.5.2.2 Validation activities shall include: implemented.

i. Validation and re-validation of the critical limits 4.5.2.2 Validation activities shall include:
established for those hazards associated with i. Validation and re-validation of the critical
the source, storage and use of production limits established for those hazards

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LEVEL 1 LEVEL 2 (GFSI Recognition Level) LEVEL 3 (GFSI & Quality Management)
inputs and Pre-requisite Programs and associated with the source, storage and use
described in Food Safety Plans; of production inputs and Pre-requisite
ii. Validation that any change to process or Programs and described in Food Safety Plans
procedure is still effective in controlling and Food Quality Plans;
identified hazards. ii. Validation that any change to process or
4.5.2.3 Validation activities shall be the procedure is still effective in controlling
responsibility of the SQF Practitioner. identified hazards.

4.5.2.4 Records of all validation activities shall be 4.5.2.3 The methods, responsibility and criteria for
maintained. analyzing and assessing product quality shall be
documented and implemented.
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 4.5.3.1 Regular internal audits to verify the 4.5.3.1 Regular internal audits to verify the
effectiveness of the SQF 1000 System shall be effectiveness of the SQF 1000 System shall be effectiveness of the SQF 1000 System shall be
completed. The Producer shall: documented and implemented. The Producer shall: documented and implemented. The Producer shall:
i. Take action to correct any deficiencies found; i. Identify who is responsible for conducting i. Identify who is responsible for conducting
and internal audits; internal audits;
ii. Maintain records of inspections and any action ii. Take appropriate and timely action correct any ii. Take appropriate and timely action correct any
arising from inspections. deficiencies found; and deficiencies found; and
iii. Maintain records of internal audits and any iii. Maintain records of internal audits and any
actions arising from internal audits. action arising from internal audits.

4.6 Product Identification, Trace, 4.6 Product Identification, Trace, 4.6 Product Identification, Trace,
Withdrawal and Recall Withdrawal and Recall 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 4.6.1.1 A product identification system shall be 4.6.1.1 The methods and responsibility for
implemented to ensure: implemented to ensure: identifying product during all stages of production
i. Product is clearly identifiable during all stages i. Product is clearly identifiable during all stages and storage shall be documented and
of receipt, production, storage and dispatch; of receipt, production, storage and dispatch; implemented. The product identification system
shall be implemented to ensure:
ii. Finished product is labeled to the customer ii. Finished product is labeled to the customer
specification and/or regulatory requirements; specification and/or regulatory requirements; i. Product is clearly identifiable during all stages
and and of receipt, production, storage and dispatch;

iii. Product identification records shall be iii. Product identification records shall be ii. Finished product is labeled to the customer

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LEVEL 1 LEVEL 2 (GFSI Recognition Level) LEVEL 3 (GFSI & Quality Management)
maintained. maintained. specification and/or regulatory requirements;
and
iii. Product identification records shall be
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 4.6.2.1 A product trace system shall be 4.6.2.1 The responsibility and methods used to
implemented to ensure: implemented to ensure: trace product shall be documented and
i. Finished product is traceable to the customer i. Finished product is traceable to the customer implemented to ensure:
(one up) and provides traceability through the (one up) and provides traceability through the i. Finished product is traceable to the customer
process to raw materials and other inputs process to raw materials and other inputs (one up) and provides traceability through the
(including services performed) (one back); (including services performed) (one back); process to raw materials and other inputs
ii. Traceability is maintained where product is ii. Traceability is maintained where product is (including services performed) (one back);
reworked, repacked and downgraded; and reworked, repacked and downgraded; and ii. Traceability is maintained where product is
iii. Records of product dispatch and destination iii. Records of product dispatch and destination are reworked, repacked and downgraded; and
are maintained. maintained. 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 4.6.3.1 The responsibility and methods used to 4.6.3.1 The responsibility and methods used to
and responsibility for notifying their customers and withdrawal and recall product shall be documented withdrawal and recall product shall be documented
other essential bodies where circumstances arise and implemented. The procedure shall: and implemented. The procedure shall:
that require product to be withdrawn or recalled. i. Identify those responsible for initiating, i. Identify those responsible for initiating,
managing and investigating a product managing and investigating a product
withdrawal or recall; withdrawal or recall;
ii. Describe the management procedures to be ii. Describe the management procedures to be
implemented; and implemented; and
iii. Outline the methods used to ensure iii. Outline the methods used to ensure
customers and other essential bodies are customers and other essential bodies are
notified in a timely manner appropriate to the notified in a timely manner appropriate to the
nature of the incident. nature of the incident.
4.6.3.2 Records of all product withdrawal and 4.6.3.2 Investigation shall be undertaken to
recalls shall be maintained. 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.

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LEVEL 1 LEVEL 2 (GFSI Recognition Level) LEVEL 3 (GFSI & Quality Management)
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 4.7.1.1 The Producer shall implement systems to 4.7.1.1 The Producer shall implement systems to
restrict access to a crop during growing and restrict access to a crop during growing and restrict access to a crop during growing and
harvest so as to minimize adulteration caused by harvest so as to minimize adulteration caused by harvest so as to minimize adulteration caused by
deliberate acts of sabotage or terrorist like deliberate acts of sabotage or terrorist like deliberate acts of sabotage or terrorist like
incidents. incidents. incidents.
4.7.1.2 A food defense protocol shall be prepared 4.7.1.2 A food defense protocol shall be prepared 4.7.1.2 A food defense protocol shall be prepared
and include: and include: and include:
i. The name of the person responsible for i. The name of the person responsible for i. The name of the person responsible for
Food Defense; Food Defense; Food Defense;
ii. The methods to ensure only authorized ii. The methods to ensure only authorized ii. The methods to ensure only authorized
vehicles / personal have access to crop, vehicles / personal have access to crop, vehicles / personal have access to crop,
packing, equipment and storage areas; packing, equipment and storage areas; packing, equipment and storage areas;
iii. The methods implemented to secure iii. The methods implemented to secure iii. The methods implemented to secure
Hazardous Chemicals, packaging and Hazardous Chemicals, packaging and Hazardous Chemicals, packaging and
harvesting equipment and protect crop harvesting equipment and protect crop harvesting equipment and protect crop from
from intentional adulteration; from intentional adulteration; intentional adulteration;
iv. The measures to ensure harvested crop is iv. The measures to ensure harvested crop is iv. The measures to ensure harvested crop is
held under secure storage; and held under secure storage; and held under secure storage; and
v. The methods used to record and control v. The methods used to record and control v. The methods used to record and control
access of employees, contractors, and access of employees, contractors, and access of employees, contractors, and
visitors to the property. visitors to the property. visitors to the property.

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SQF 1000 Code - 5th Edition Jan 2010
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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.

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SQF 1000 Code - 5th Edition Jan 2010
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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 Silos 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
manufacturers 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.

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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.

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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 employees car or home during breaks. They may not
be stored with an employees 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.

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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.

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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 GMOs 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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SQF 1000 Code - 5th Edition Jan 2010
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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.

Copyright Food Marketing Institute 2009. All rights reserved


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SQF 1000 Code - 5th Edition Jan 2010
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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

Copyright Food Marketing Institute 2009. All rights reserved


35
SQF 1000 Code - 5th Edition Jan 2010
First published February 2000

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

Obtain a copy of the SQF 1000 Code


<www.sqfi.com >

Conduct a self assessment (Gap Analysis)


to determine what needs to be done

Designate a competent employees


person as the
SQF Practitioner or hire a SQF Consultant

Complete SQF System Training


(If requi red)

Document system
SAY WHAT YOU DO

Implement and validate your system


DO WHAT YOU SAY

Review and amend your system if


necessary

Conduct a pre -assessment audit

Select Certification Body to perform the


Audit < www.sqfi.com >
PROVE IT

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.

Copyright Food Marketing Institute 2009. All rights reserved


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SQF 1000 Code - 5th Edition Jan 2010
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Table 1 SQF Practitioner details

SQF Practitioner Details


1 SQF Practitioner name
2 Position title
3 Company name
4 Company site address
5 Individuals e-mail address
6 Details of HACCP training and experience
7 Evidence of Knowledge of SQF 1000 Systems Requirements

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
Consultants 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

SQF CONSULTANT
Reg. No Expiry Date Licensed Since

00000
N LY 7 Nov. 1999 Y
7 Nov. 2008
NL
O
3, 4, 14, 25
Food Sector Categories
O
LE SMITH LE
1st Name Surname

JOHN P P
XAM
Address
AM
35 Plum Tree Rd.
X
Copyright
E Food Marketing EInstitute
Vienna. VA 2009. All rights reserved
USA
37
SQF 1000 Code - 5th Edition Jan 2010
First published February 2000

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 Suppliers 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 Suppliers 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 Suppliers
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
Suppliers 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 Suppliers 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 Suppliers 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 Bodys as
required.

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SQF 1000 Code - 5th Edition Jan 2010
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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 7. Determine CCPs


(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 9. Establish a monitoring system for CCP that is able to detect
CCP(s) loss of control i.e. when critical limits are exceeded.
Consider continuous monitoring and/or periodic audit

5 Establish Corrective Action to be taken 10. Establish Corrective Actions that are able to deal with loss
when monitoring indicates CCP(s) are of control when it occurs and is capable of determining
not under control when CCP has been brought under control

6 Establish procedures for verification to 11. Establish procedures for verification or audit that include
confirm that the HACCP system is review of HACCP system and records, records of deviations
working effectively and actions taken in order to confirm that CCPs are kept
under control

7 Establish documentation covering all 12. Documentation and record keeping should be appropriate to
procedures and records appropriate to the nature and scale of the operation
these principles and their application

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SQF 1000 Code - 5th Edition Jan 2010
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Section 10: Certifying SQF 1000 Systems

Contents
10.1 Introduction .................................................................................................................41
10.2 Requirements for Accreditation Bodys.........................................................................41
10.3 Requirements for Certification Bodys ..........................................................................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

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SQF 1000 Code - 5th Edition Jan 2010
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10. Certifying SQF 1000 Systems

10.1 Introduction

10.1.1 Certification of a SQF 1000 System is conducted by Certification Bodys (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 Bodys for Certification of SQF Systems to
outline the requirements that SQF Certification Bodys must comply with.

Figure 3 A description of the application of international accreditation and certification norms and the
relationships between the parties involved.

International Accreditation Forum (IAF) Comprised of National


Accreditation Bodies

Peer Review by Sister Accreditation Body

Accreditation Bodies ISO/IEC 17011

Accredits the Certification Body (CB) Including


Witness Audits of SQF Auditor Activity

ISO/IEC Guide 65
Certification Bodies
SQF Criteria for Certification Bodies

Audits the Supplier

Supplier Supplier Supplier Supplier SQF 1000 System

10.2 Requirements for Accreditation Bodys


10.2.1 Accreditation Bodys are licensed by the SQF Institute. They are required to maintain
Accreditation in compliance with the international standard ISO/IEC 17011. Accreditation Bodys 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 Bodys.

10.3 Requirements for Certification Bodys


10.3.1 Certification Bodys 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 Bodys is available at www.sqfi.com.
10.3.2 Certification Bodys 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
Bodys. Assessments are conducted at the head office of the Certification Body and its Key Locations at
least annually.
10.3.3 The service provided by Certification Bodys in countries aligned to a Key Locations is also subject
to assessment.
10.3.4 When conducting Assessments of a Certification Bodys 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.

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SQF 1000 Code - 5th Edition Jan 2010
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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 Bodys fee structure;
iii. The conditions under which the SQF Certificate be issued, withdrawn or suspended; and
iv. The Certification Bodys 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 Bodys 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 Bodys 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.

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Figure 4 Example SQF Auditor ID card

SQF AUDITOR
Reg. No Expiry Date Licensed Since

00000 LY
7 Nov. 2008 LLYY
7 Nov. 1994
Food Sector Categories ON
3, 4, 14, 25 OONN
1 st Name
PLE LLEE
Surname
P
P
Marion
Address X
AM JONES XXAAMM
E EE
35 Plum Tree Rd.
YAKIMA WA
USA

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 Bodys 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 Suppliers 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.

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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

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


Proposal for Certification Accepted

On-site Pre-assessment / Gap Analysis conducted

Supplier Documents and Implements its SQF System


Corrective action
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)

Auditor Reviews Findings

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


Rating <C and Rating > C

System Deficient Recommendation by Auditor

Decision on Certification by
Supplier to take Corrective Action
Certification Body Review Council

Certificate Issued

SQF Certificate valid for 12 months

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 Suppliers operations are made
and the impact of those changes on the Suppliers 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 Suppliers 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 Suppliers 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:

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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 Suppliers operations are made
and the impact of those changes on the Suppliers 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 Suppliers SQF System and business operation.
Figure 6 Diagram showing the Re-certification Process

Certification Body notifies supplier prior to the Audit due date

SQF Auditor reviews suppliers record

On -site assessment conducted by theSQF Auditor

SQF Auditor reviews their findings

Major or Minor Non-conformities No Critical or Major Non-conformities


Critical Non-conformities documented Documented or rating < C Documented and a rating > C

Withdraw the Suspend the


Supplier to take Corrective Action
Certificate Certificate

Re-apply for Supplier takes


Certification Corrective Action Auditor reviews Corrective Action

Corrective Action Corrective Action Corrective Action Corrective Action


Unsatisfactory Satisfactory Unsatisfactory Satisfactory

Certification Body Review Council


Assesses and Approves the Certification

SQF 1000 Certificate issued

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;

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

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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 Suppliers 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 Suppliers 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 Suppliers 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 Suppliers 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
Action
Rating
Critical Major Minor
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

C/G/E 0 2 20 Suspend Certification

C/G/E 0 1 30 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 suppliers 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 suppliers 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 Suppliers 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-sites 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-sites
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-sites 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=1.5x), 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.

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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=1.5x), 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=2x), 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=1.5x), 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=2.0x), rounded to the upper whole number.
13.10.4 The size of sample shall be increased where the Certification Bodys 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-sites 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-sites 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 Organizations 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 Description Example Level of Risk


(Suppliers
Scope of
Certification)
1 Production, Applies to the capture, transport, Includes:
Capture and holding, intensive animal husbandry
Harvesting of and free range farming of animals, but
Livestock and does not include fish.
Game Animals

1A Free Range Deer, cattle, goats, sheep, pigs, LR


Animal Production poultry, ostrich, emu, egg, etc.
1B Intensive Animal Cattle, pigs, poultry, eggs LR
Production
1C Dairy farming Cattle, sheep and goats LR
1D Game Animals Buffalo, wild pigs, emu LR
1E Apiculture Bees LR
2 Growing and Applies to the production, harvesting, Includes pasture, silage and LR
Harvesting of transport and storage of all non- hay.
Animal Feeds processed sources of animal feeds.
Note: Excludes manufactured animal
feed.

3 Growing and Applies to the production, harvesting, All fruit and vegetable varieties
Production of preparation, field packing, transport including:
Fresh Produce 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.

3A Fresh produce Tropical and temperate tree LR


that will undergo fruits, carrots, beets, potatoes,
further processing wine grapes

3B Ready-to-Eat Table grapes, blueberries, Some products and


(RTE) Produce tomatoes, peppers, herbs and processes in
spices and tomatoes, green category 3B are
onions, baby spinach, lettuce, classified high risk.
melons etc

4 Fresh Produce Applies to the packing, sorting, Includes all fruit and vegetable LR
Pack house grading, cleaning, controlled varieties which are packed in
Operations atmosphere temperature storage and pack houses.
transport of fresh and pre-packaged
whole unprocessed fruits and
vegetables.

5 Extensive Broad Applies to the production, harvesting, All grain and cereal varieties LR
Acre Agriculture preparation, transport and storage of including but not limited to
Operations cereal and other grains. Wheat, oats, pulse crops, soy,
legumes, , maize, corn and
cotton

5A Seed Production Mung bean seeds, alfalfa seeds, Some products and
Watercress seeds. processes in
category 5A are
classified high risk.

6 Harvest and Applies to the harvest and wild capture All fresh and salt water fish and
Intensive and intensive farming of freshwater shellfish species including:
Farming of Fish and marine fishes and shellfish,
including purification, transport and
storage and extends to gilling, gutting,
shucking and chilling operations at
sea.

6A Wild Caught Fish Tuna, abalone, lobster, shrimp, LR


salmon, snapper and other
finfish spp.

6B Aquaculture and Tuna, oysters, mussels, salmon, Some products and


RTE fish. tilapia, shrimp, basa, catfish etc. 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 service on field crops. fertilizers administered dry or in depending on the
Services aqueous solution. method and time
of application.

29 Provision of Applies to the provision of manual Includes fresh fruit and High risk activity
Field Harvest labour and equipment to provide a vegetable pickers, rice-pickers, for some crops.
Services field harvesting service. and nut pickers.

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Appendix 2 SQF 1000 Certificate of Registration

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SQF 2000 DESK AUDIT - SUPPLIER DETAILS


Notes
Company name (Supplier):
Overall Audit Rating
Company (Site) Address: Company Key Contact:

City: State: Zip Code: Country: Phone: Fax: E-mail address:

Food Sector Categories SQF Practitioner Name:


Products Audit Scope:

CERTIFICATION DETAILS
SQF Certification No. (if Certified): Type of Site: Registration Level:
Modules:

SUMMARY OF AUDIT FINDINGS: DESK AUDIT


Date Started: Date Completed: Date of Last Audit: Audit Report No.
Audit Type Certification Body Name: SQF Auditor Name: SQF Auditor Reg. No.: Technical Expert Name (if Applicable):

Entry Meeting (Name of Key Personnel & position): Exit Meeting (Name of key Personnel & Position):

Comment Section Rating


Element of SQF 2000 Code

4.1 Commitment

4.2 Document Control and Records

4.3 Specification and Product Development

4.4 Attaining Food Safety

4.5 Verification

4.6 Product Identification, Trace, Withdrawal and Recall

4.7 Site Security

4.8 Identity Preserved Food


5. Food Safety Fundamentals -
Building and Equipment Design and Construction
6. Food Safety Fundamentals -
Pre-requisite Programs
7. Requirements for Foods Contained in Hermetically Sealed Rigid,
Flexible or Semi Rigid Containers

Details of Non-compliance and agreed Corrective Action


Type of Non-conformity Date to be completed Supplier Agrees? Y/N
Element No. CAR No. Detail of Non-compliance Corrective Action to be Taken
-Select One - (DD/MM/YY) -Select One -

Total No. of Non-conformities:


Recommendation - Select One - : SQF Auditor's Signature:
Critical: Major: Minor:
0 0 0
Conclusions:

Supplier's Signature:

Date (DD/MM/YY):

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

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