SQF 2000 CODE

SQF 2000 CODE

SQF 2000 CODE

A HACCP SUPLIER ASSURANCE CODE
FOR THE FOOD INDUSTRY

4TH EDITION - AMENDED APRIL 2004

Copyright© Food Marketing Institute 2004

6 5 5 1 5 t h S t r e e t , N . W.
Washington, DC 20005, USA

SQFI is a Division of the Food Marketing Institute

SQF 2000 -Edition 4 - April 2004 .doc

Preface

The SQF (Safe Quality Food) 2000 Code provides the food sector (Primary Producers, food manufacturers, retailers, agents and exporters) a
food safety and quality management certification program that is tailored to its requirements and enabled Suppliers to meet regulatory, food
safety and commercial quality criteria in a cost effective manner. In 1994 the Code was developed and pilot programs implemented to ensure
its applicability to the food sector. It was circulated in draft form for comment to experts in quality management, food safety, and food
regulation, food processing, agriculture production systems, food retailing, food distribution and HACCP.

A Technical Committee reviews and makes recommendations on changes to the Code in line with the current requirements and expectations
of the global food sector. Amendments are posted on the SQF web site. The document is reissued when warranted or after a three year
comprehensive review.

Suggestions for improvements to the Code are encouraged from all users. They should be submitted in writing and be sent to SQFI, 655 15th
St., N.W., Washington DC, 20005, USA.

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

First printed May 1995

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

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 I 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 2004

655 15th St., N.W., Washington DC, 20005, USA.
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SQF 2000 Code - Edition 4 Amended April 2004
First published May 1995
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Contents

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

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

Introduction……………………………………………………………………………………………………………………………3

1. Scope ..................................................................................................................................4
2. References ..............................................................................................................................................4
3. Definitions................................................................................................................................................4
4. SQF 2000 System Requirements............................................................................................................5
4.1 Commitment ........................................................................................................................5
4.2 Specifications.......................................................................................................................5
4.3 Control of Production ...........................................................................................................5
4.4 Verification ...........................................................................................................................6
4.5 Document Control and Records ..........................................................................................6
4.6 Product Identification, Trace and Recall ..............................................................................6

Appendix 1 Implementing a SQF 2000 System..........................................................................................................7

Appendix 2 Principles & Application of HACCP .........................................................................................................8

Appendix 3 Certifying SQF 2000 Systems .................................................................................................................9

Appendix 4 SQF 2000 Certification Trade Mark – Rules for Use.............................................................................10

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SQF 2000 Code – Edition 4 Amended April 2004
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Introduction

Consumers throughout the world are demanding access to safe, quality food. This increased demand can be attributed to more
affluent and mobile populations and a growing awareness of food safety, public health and other social issues.

Due to an increase of food safety incidents worldwide, there has been a weakening of consumer confidence in the capacity of
regulators to adequately assure safe food. In response, the export, import, retail, food service, hotel, hospitality and major
manufacturing sectors are now turning increasingly to third party certification services to audit Supplier management systems and
to assure the integrity, traceability, safety and quality of the food purchased is increasing.

The SQF 2000 Code can be used by all sectors of the food industry. The Code is a HACCP based quality management system
that encapsulates NACMCF and CODEX HACCP Principles and Guidelines, proven methods used by the food industry to reduce
the incidence of unsafe food reaching the marketplace. It is designed to support industry or company branded product and to
offer benefits to Suppliers at all links in the food supply chain. The Supplier and the customer first agree to a finished product
specification The Supplier then develops plans for its products and processes to cover controls necessary to ensure food safety
and quality. Products produced and manufactured under the SQF 2000 Code certification retain a high degree of acceptance in
global markets.

The SQF 2000 Code enables a Supplier to demonstrate that they can supply food that is safe and that meets the quality specified
by a customer. Certified SQF 2000 Suppliers receiving raw materials from Suppliers who have implemented the SQF 1000 Code
can ensure that, through these complimentary systems, product is traceable from the Producer to the consumer.

The SQF 2000 Code also provides a mechanism for the food sectors of developing countries seeking to effectively enter the
global food market to implement a management system that addresses their needs and the needs of their customers.

Certification of SQF Systems by a Certification Body is not a statement that the Certification Body guarantees the safety of a
Supplier’s food or service. It is also not a guarantee that all food safety regulations are being met, or will continue to be met, at
all times. It is a statement that the Supplier’s food safety plans have been implemented in accordance with the HACCP Method
and applicable regulatory requirements, and that the validation and verification of the Food Safety Plan has been evaluated and
determined effective to manage food safety. It is also a statement of the Supplier’s commitment to:

1. Produce safe, quality food.

2. Comply with the requirements of the SQF Code.
3. Comply with applicable food legislation.

The development of the SQF 2000 Code has been a significant move towards the recognition of the importance of independent
third party assurance of food safety and quality by all sectors of the food industry. The SQF 2000 Code focuses on the benefits
to both industry and the customer, whereby improved product quality enhances marketability and profitability.

The SQF 2000 Code is divided into three levels. An explanation of each Level is provided in Appendix1. Each Level is designed
to indicate the level of development of a Suppliers food safety and quality management system as follows:

Level 1 Food Safety Fundamentals

Level 2 Accredited HACCP Food Safety Plans

Level 3 Comprehensive Food Safety and Quality Management System Development

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

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1. Scope
The SQF 2000 Code outlines the general food safety and quality system requirements for the supply of raw materials and ingredients, food
products and processed or prepared foods, beverages or services and is used by Suppliers including manufacturing, catering and food service
companies.

Where any requirement(s) of this Code cannot be applied due to the type of production or product, this can be considered for exclusion.
Exclusions are limited to clauses outlined in the relevant guidance documents, provided such exclusions do not affect the Supplier’s ability, or
responsibility, to supply product that meets customer and regulatory requirements.

The document “Guidance for Developing, Documenting and Implementing a SQF 2000 System” published by the SQF Institute provides details
guidance which must be followed when implementing a SQF 2000 System.

2. References
The Code makes reference to the current edition of the CODEX Alimentarius Commission Guidelines for the Application of the Hazard Analysis
and Critical Control Point (HACCP) System and the National Advisory Committee on Microbiological Criteria for Foods (NACMCF) Hazard
Analysis and Critical Control Point Principles and Application Guidelines, adopted August 14, 1997. It also makes reference to the International
Organization for Standardization (ISO) 9001:2000 Quality Management System Requirements.

3. Definitions
For the purpose of this Code, the following definition and the relevant definitions outlined in “SQF Program – Vocabulary” apply.

3.1 SQF 2000 Plan includes the Food Safety Plan and the Food Quality Plan as outlined in clause 4.3 of the SQF 2000 Code.

4. SQF 2000 System Requirements

4.1 Commitment
4.1.1 Management Policy
The owner or most senior person shall define the Supplier’s commitment to food safety, quality and continuous improvement in a Policy
Statement, which is relevant to the Supplier’s goals and customer requirements. It shall be signed by the owner or most senior person,
documented in the Policy Manual and communicated to all staff.
Level 1 Level 2 Level 3
i. The owner or most senior responsible person ii. The Policy Statement shall further outline the
shall prepare and sign a Policy Statement Supplier’s commitment to food quality and
outlining their commitment to supply safe food. continuous improvement which is relevant to
the Supplier’s goals and customer
requirements. It shall be:
a. Signed by the owner or the senior
responsible person;
b. Reviewed at least annually;
c. Displayed in a prominent position; and
d. Available in the appropriate language and
communicated to all staff.

4.1.2 Policy Manual

A Policy Manual which outlines the methods the Supplier will use to meet the requirements of this Code shall be documented.
Level 1 Level 2 Level 3
i. A Policy Manual shall be prepared and it shall; ii. The Policy Manual shall further outline the iii. The Policy Manual shall further outline the
a. Outline the methods the Supplier will use methods used to meet the requirements of organizational and managerial provisions
to meet the requirements of Level 1 and Level 2. implemented to meet the requirements of Level
reference where those methods are 3.
documented;
b. Include the policy statement; and
c. Be readily available to key staff.

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4.1.3 Organizational Structure

The organizational reporting structure shall be documented in the Policy Manual. It shall describe those who have functional responsibility for
continuous improvement, food safety and quality and their interrelationship. Job descriptions for these positions shall be documented.
Level 1 Level 2 Level 3
i. The organizational structure shall be ii. Position job descriptions for individuals with iii. The organizational structure shall further outline
documented in the Policy Manual to outline overall and functional responsibility for food those with overall and functional responsibility
those who have overall functional safety and food regulation shall be for continuous improvement, food regulation,
responsibility for food safety and regulation. documented. food safety, quality and their interrelationship.
iv. Position job descriptions for individuals
responsible for continuous improvement, food
regulation and food safety and quality shall be
documented; and
v. Provisions shall be made to cover for the
absence of key personnel.

4.1.4 Training
Appropriate training shall be provided for personnel carrying out the tasks at the critical steps identified in the Food Safety and Food Quality
Plans and other instructions critical to effective implementation of the SQF 2000 System. Instructions shall be available setting out how these
tasks are to be performed. A training register describing who has been trained in relevant areas shall be maintained.
Level 1 Level 2 Level 3
i. Appropriate training shall be provided for ii. HACCP training shall be provided for Food iv. Appropriate training shall be provided for
personnel carrying out the tasks associated Safety Plan Development Team members. personnel carrying out tasks identified as
with Good Manufacturing Practice-related food iii. Appropriate training shall be provided for critical to assuring food quality and process
safety controls and food legislative personnel carrying out the tasks at the critical efficiency.
requirements. steps identified by the hazard analysis and v. Instructions shall be available setting out how
other instructions critical to effective all tasks critical to the maintenance of food
implementation of the Food Safety Plan and safety, quality and process efficiency are to
the maintenance of food safety. be performed.
vi. A training skills register shall be maintained.

4.2 Specifications
4.2.1 Supplier Specifications
The Supplier shall have documented specifications for all goods and services purchased that impact on finished product safety and quality.
Level 1 Level 2 Level 3
i. Specification for raw materials and services ii. Specifications shall include a full description of iii. Specifications for all raw materials and services
that impact on finished product safety shall be the product or services provided including that impact on finished product safety and
documented. relevant food safety information and comply quality shall be maintained.
with the relevant food regulation. iv. A raw material register shall be maintained.

4.2.2 Incoming Goods and Services

Raw materials and services that impact on finished product safety and quality shall be inspected before use or supplied by an Approved
Supplier. The Supplier shall also document responsibilities and methods for analyzing raw materials and ingredients critical to product safety
and quality. Such analysis shall conform to recognized standards.
Level 1 Level 2 Level 3
i. The Supplier shall provide documented ii. The Supplier shall outline who is responsible iv. The Supplier shall provide documented
evidence to show that raw material and for raw material ingredient inspection and evidence of prior approval of Approved
ingredients that impact on product safety have Approved Supplier approval, monitoring, Suppliers including service providers and raw
been inspected before use or that they have evaluation and follow up action. material and ingredient suppliers.
originated from Approved Suppliers. iii. All methods of analysis shall conform to v. A list of Approved Suppliers shall be
industry recognized standards. maintained.
vi. Responsibilities and methods for analyzing raw
material ingredients critical to product safety
and quality shall be documented.

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4.2.3 Finished Product Specifications

Finished product specifications shall be documented, approved by the customer as required, and accessible to relevant staff.
Level 1 Level 2 Level 3
i. Finished product specifications shall be ii. The microbiological and chemical attributes of i. The physical and packaging attributes of the
provided and be consistent with the relevant the finished product shall be described in the finished product shall be described in the
food safety legislation. finished product specifications. finished product specifications.
ii. Finished product specifications shall include
product quality parameters and, where
appropriate, be formally agreed with
customers and shall be accessible to relevant
staff.
iii. Finished product specifications shall be
updated and maintained to the required
status.
iv. A register of finished product specifications
shall be maintained.

4.3 Control of Production

4.3.1 Process Control
The Supplier shall document the means by which it will control food safety in a Food Safety Plan and quality in a Food Quality Plan.
Level 1 Level 2 Level 3
i. The SQF Expert shall document a site plan iii. The Supplier shall document the means by v. The Supplier shall document the means by
showing the location of the premises in which it will control, monitor and maintain food which it will control food quality in a Food
relation to the surrounding activities and those safety in a Food Safety Plan. Quality Plan. The Food Quality Plan shall be
Pre-requisite Programs that are applicable to iv. The Food Safety Plan prescribes all control based on the guiding principles of the HACCP
the Supplier’s scope of operations. points critical to assuring, monitoring and Method.
ii. Pre-requisite Programs include but are not maintaining food safety. and shall: vi. The Food Quality Plan outlines the results of
limited to: a. Incorporate Pre-requisite Programs; the food quality risk assessment and prescribes
a. Site Plan b. Be prepared in accordance with the all controls critical to assuring food quality. It
b. Hygienic design of the premises and HACCP Method; shall:
equipment to approved standards; c. Cover a food or food group and the a. Include an analysis of the risks to
c. Maintenance of buildings, surroundings, associated processes producing food quality and actions taken to
product handling and storage areas, staff d. Include a Verification Schedule; and prevent or reduce the incidence of poor
amenities and processing equipment and e. Be developed, validated, verified, and quality occurring;
utensils; maintained by a SQF Expert. b. Cover a food or food group and the
d. Product, personnel and process flow associated processes;
designed to prevent cross-contamination c. Be developed, validated, verified, and
and food safety risks; maintained by a SQF Expert.
e. Training of Personnel (see clause 4.1.4.i)
f. Vermin and Pest Control ;
g. Foreign Matter Control
h. Waste Management
i. Rework of Materials;
j. Good Hygiene Practice to include:
1. Personnel Hygiene procedures; and
2. Cleaning and sanitation of buildings
and equipment.
k. Calibration of equipment (see clause
4.4.1.i);
l. Water Supply; and
m. Approved Supplier program (see clause
4.2.2.i)

4.3.2 Corrective and Preventive Action

The Supplier shall document a procedure that describes how it will undertake corrective and preventive action. The procedure shall outline the
responsibility and the methods used to investigate and identify the cause and the resolution of non-compliance of critical limits that impact on
food safety and quality. Records of corrective and preventive action shall be maintained.
Level 1 Level 2 Level 3
i. The Supplier shall document the methods ii. The Supplier shall document a procedure that iii. The corrective action procedure shall outline
used to implement food safety corrective and describes how it will undertake and manage the responsibility and the methods used to
preventive actions in a timely manner. corrective and preventive action. investigate and identify the cause and the
resolution of non-compliance of critical limits
that impact on food safety and quality;
iv. Records of corrective and preventive action
shall be maintained.

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4.3.3 Non-Conforming Product

A procedure outlining how non-conforming product identified during receipt, storage, processing, packing, handling or delivery is isolated and
identified shall be provided. Non-conforming product or materials shall be handled and disposed of in such a manner that minimizes the risk of
inadvertent use, improper use or risk to the integrity of finished product. Records of the disposal of non-conforming product shall be maintained.
Level 1 Level 2 Level 3
i. The Supplier shall document a procedure ii. Non-conforming product or materials shall be
outlining how non-conforming product identified handled and disposed of in such a manner
during receipt, storage, processing, packing, that minimizes the risk of inadvertent use,
handling or delivery is isolated and identified improper use or risk to the integrity of finished
product.
iii. Records of the disposal of non-conforming
product shall be maintained.

4.3.4 Food Legislation (Regulation)

The Supplier shall ensure that, at the time of delivery to the customer, the food supplied will comply with the legislation that applies to the food,
its production or its manufacture in the country of its origin and destination.
Level 1 Level 2 Level 3
i. The Supplier shall ensure that, at the time of
delivery to the customer, the food supplied shall
comply with the legislation that applies to the
food, its production or its manufacture in the
country of its origin and destination.

4.4 Verification
4.4.1 Calibration
All measuring, test and inspection equipment used for monitoring activities outlined in SQF 2000 Plans, or to demonstrate compliance with
customer requirements shall be routinely calibrated to recognized standards or to accuracy appropriate to its use. The Supplier shall document
a procedure that identifies who is responsible for all equipment calibration and re-calibration. Records of all equipment calibration shall be
maintained.
Level 1 Level 2 Level 3
i. All measuring, test and inspection equipment ii. Calibration shall be extended to cover all iii.Calibration of all measuring, test and
used for food safety monitoring activities shall measuring, test and inspection equipment inspection equipment shall be extended to
be routinely calibrated to recognized identified and used for monitoring activities cover test and inspection equipment used to
standards or to accuracy appropriate to its outlined in the Food Safety Plan. monitor activities outlined in the Food Quality
use. Plan and to demonstrate compliance with
customer requirements.
iv. The Supplier shall document a procedure that
outlines the method and responsibility for all
equipment calibration and re-calibration.
v. Records of all equipment calibration shall be
maintained.

4.4.2 Internal Audits

The Supplier shall document its internal audit procedure and identify who is responsible for scheduling and conducting internal audits. The
procedure shall include an audit schedule, scope, detail the frequency and how audits will be conducted to verify the effectiveness of the SQF
2000 System and SQF 2000 Plans. Persons conducting internal audits shall be trained in internal auditing procedures. Where possible auditors
shall be independent of the area or function being audited. Records of internal audits, and any corrective action taken as a result of internal
audits, shall be maintained.
Level 1 Level 2 Level 3
i. The Supplier shall demonstrate the ii. The Supplier shall document an internal audit iv. Responsibilities for conducting internal audits
effectiveness of the legislative and GMP procedure and identify who is responsible for shall be extended to verify the effectiveness of
related food safety controls implemented. scheduling and conducting internal audits. the Food Quality Plan.
iii. The procedure shall include an audit schedule, v. Persons conducting internal audits shall be
scope and detail the frequency and how audits trained in internal auditing procedures.
shall be conducted to verify the effectiveness vi. Where possible internal auditors shall be
of each Food Safety Plan. independent of the area or function being
audited.
vii. Records of internal audits, and any corrective
action taken as a result of internal audits, shall
be maintained.

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SQF 2000 Code – Edition 4 Amended April 2004
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4.4.3 System Review

The Supplier shall implement a procedure for ensuring the SQF 2000 System, management policy and the organizations food safety and quality
objectives are reviewed at least annually. Reviews shall be the responsibility of senior management. A SQF 2000 Plan shall be reviewed when
a major change to a product formulation, its process, process controls or any other factor that impacts on food safety and quality arise.
Changes to a SQF 2000 Plan shall be developed, validated, verified, and verified by a SQF Expert. All reviews and changes to the SQF 2000
System and each SQF 2000 Plan shall be documented.
Level 1 Level 2 Level 3
i. The Supplier shall document a policy to ii. The Supplier shall ensure reviews to the Food v. The Supplier shall implement a procedure for
annually review the effectiveness of the Pre- Safety Plan are conducted when a major ensuring the SQF 2000 System, management
requisite Programs and other controls change to a product formulation, its process, policy and the organizations food safety and
implemented to assure food safety. process controls or any other factor that quality objectives are reviewed at least
impacts on food safety arise. annually.
iii. Major changes to a Food Safety Plan that vi. Reviews shall be the responsibility of senior
impact food safety shall be developed, management.
validated, and verified by a SQF Expert. vii. A Food Quality Plan shall be reviewed when a
iv. All reviews and changes to the Food Safety major change to a product formulation, its
Plan shall be documented. process, process controls or any other factor
that impacts on food quality arise.
viii. Changes to a Food Quality Plan shall be
developed, validated and verified by an SQF
Expert.
ix. All reviews and changes to the SQF 2000
System and SQF 2000 Plans shall be
documented.

4.4.4 Customer Complaints

The Supplier shall document a procedure for handling customer complaints and identify who is responsible for investigating the cause and
resolution of customer complaints. Customer complaints shall be handled efficiently and records of customer complaints and their
investigations shall be maintained.
Level 1 Level 2 Level 3
i. The Supplier shall outline its customer ii. The Supplier shall document a procedure for
complaint handling protocol. handling customer complaints and identify who
is responsible for investigating the cause and
resolution of customer complaints.
iii. The Supplier shall ensure that measures are
taken to handle customer complaints efficiently
and shall maintain records of all customer
complaints and their investigations.

4.4.5 Finished Product Sampling, Inspection and Analysis

The Supplier shall document a procedure outlining the responsibility and method for sampling and analyzing finished product to ensure it
complies with customer and regulatory requirements and that any such sampling and analyses conforms to recognized standards.
Level 1 Level 2 Level 3
i. The Supplier shall implement a sampling and ii. The Food Safety Plan shall reference all iv. The Supplier shall document a procedure
inspection program to ensure finished product methods of analysis to be used outlining the responsibility, methods and
conforms to specification. iii. All chemical or microbiological analysis of criteria used for sampling, inspecting
finished product shall be in accordance with and analyzing finished product.
recognized standard methods. v. Personnel shall be appropriately qualified,
trained and competent to undertake these
sampling, inspection and analyses.

4.4.6 Product Release

The Supplier shall document a procedure outlining the responsibility and protocols for the release of finished product to ensure customer and
regulatory requirements have been met.
Level 1 Level 2 Level 3
i. Product shall only be released by authorized ii. Product shall only be released by authorized iii. To ensure customer and regulatory
personnel after all inspections are successfully personnel after all analyses are successfully requirements have been met the Supplier shall
completed. completed document a procedure outlining the
responsibility and protocols for the release of
product.

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4.5 Document Control and Records

4.5.1 Document Control
A list of documents and amendments to documents shall be maintained to identify the current document in use.
Level 1 Level 2 Level 3
i. The Supplier shall demonstrate that it has ii. A procedure outlining who is responsible for
access to the food regulations applicable to its withdrawing and replacing (if necessary)
operations. obsolete documentation, and how this is done,
shall be prepared.
iii. The Supplier shall maintain a list of all
documents and amendments to documents.

4.5.2 Records
Legible records demonstrating that essential production or process inspections or tests identified in SQF 2000 Plans have been completed shall
be maintained. Records associated with the SQF 2000 System shall be stored to prevent their damage and deterioration. All records shall be
retained for a minimum period of one year to enable effective internal and external auditing of the SQF 2000 System. Record retention shall
also meet periods specified by a customer or legislation (regulation).
Level 1 Level 2 Level 3
i. The Supplier shall maintain legible Food ii. All Food Safety record entries shall be iii. The maintaining of records shall be extended to
Safety records demonstrating that essential endorsed by those making such entries. cover food quality
product or process inspections, tests, iv. Personnel with responsibility for checking
analyses and observations have been records shall sign and date each record
completed. checked.
v. Records shall be retained in good condition and
held under secure storage suitable to prevent
their damage and deterioration.
vi. All records shall be retained for a minimum
period of one year or for periods specified by a
customer or legislation (regulation).

4.6 Product Identification, Trace and Recall

4.6.1 Product Identification
Finished product shall be clearly identified to the customer specification and/or regulatory requirements. The product identification system shall
be documented. Product identification records shall be maintained.
Level 1 Level 2 Level 3
i. Finished product shall be clearly identified to ii. The Supplier shall outline in a procedure a
the customer specification and/or regulatory description of the methods used to identify
requirements. product.
iii. The Supplier shall record relevant product
identification information on all dispatch
dockets.

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4.6.2 Product Trace

Finished product shall be traceable to the customer. The product trace system shall be documented in a procedure with responsibilities
defined. It shall provide for the identification of raw materials and other inputs that may have an impact on finished product quality and safety.
Raw materials and other inputs shall be traceable through the process to the finished product. Records of product dispatch and destination shall
be maintained.
Level 1 Level 2 Level 3
i. The Supplier shall outline the methods it will ii. The Supplier shall outline in a procedure the
use to trace finished product to a customer. methods it will use to trace finished product.
The procedure shall:
a. Describe the method of identifying raw
materials and other inputs that may have an
impact on finished product safety and quality
to ensure they shall remain traceable
through the process to the finished product
and to the customer;
b. Define those responsible for implementing
and maintaining the product trace system.
iii. The product trace system shall ensure
traceability is maintained where any reworking
of product is performed; and
iv. Records of product dispatch and destination,
and results of testing the product trace system,
shall be maintained.

4.6.3 Product Recall

A product recall system shall be documented in a procedure in which the responsibilities, management and protocols to be implemented are
clearly described. The product recall system shall be tested and verified at least annually. Records of recall system tests, verifications and all
product recalls shall be maintained.
Level 1
i. The Supplier shall identify those responsible
for a product recall and outline the methods it
will use to recall product.
Level 2 Level 3
ii. The Supplier shall outline in a procedure the
methods it will use to conduct a product recall.
The procedure shall;
a. Identify those responsible for implementing
and managing product recalls;
b. Outline the management protocols to be
implemented;
c. Outline the type of incident that would trigger
a recall;
d. Ensure customers and other essential
bodies are notified in a timely manner
appropriate to the nature of the incident;
iii. The product recall procedure shall be reviewed,
tested and verified at least annually.
iv. Records of all product recalls, reviews and
results of testing the product recall system shall
be maintained.

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SQF 2000 Code – Edition 4 Amended April 2004
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Appendix 1

Implementing a SQF 2000 System

A Supplier can choose to develop and implement their SQF 2000 System themselves or they can use a SQF Consultant.
The SQF 2000 Code requires that Pre-requisite Programs, Food Safety Plans and Food Quality Plans be implemented and
maintained by a SQF Expert therefore, if a Supplier elects to “do it themselves” they, or a member of their staff, shall need to
certified as a SQF Expert.

All SQF Experts are registered by the SQFI. They are issued with a certificate and an identity card to indicate the food
industry category(s) in which they are qualified to work. The criteria outlining the requirements necessary to qualify as a SQF
Expert and application forms are available on the SQFI web site.

A “SQF Consultant Code of Practice” has been prepared outlining the practices expected of SQF Consultants and to assist
SQF Consultants in the delivery of their services. A copy of the Code of Practice and a list of SQF Consultants are available
on the SQFI web site. It is a Supplier’s responsibility to exercise appropriate due diligence when selecting and engaging a
SQF Consultant. Information on selecting a SQF Consultant is outlined in the “SQF Program Guidebook” also available on
this web site.

The SQF 2000 Code is divided into three certification levels. Each level is designed to indicate the stage of development of a
Supplier’s food safety and quality management system. A Supplier can choose a level that is acceptable to a customer and
the attainment of a level indicates the stage of development of the Supplier’s SQF System. The three SQF 2000 Certificate
levels are:

Level 1 Food Safety Fundamentals: Indicates that GMPs and fundamental food safety controls have been
implemented to provide a sound foundation for the further development of the Supplier’s management system.
Level 2 Accredited HACCP Food Safety Plans: Incorporates all Level 1 system requirements and indicates that a
food safety risk analysis of the product and its associated process has been completed to identify the hazards and
the action taken to eliminate, prevent or reduce their occurrence. Level 1 Certification is a pre-requisite to gaining a
Level 2 SQF 2000 Certificate.
Level 3 Comprehensive Quality Management Systems Development: 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. Level 1 and Level 2 Certification are pre-requisite
to gaining a Level 3 SQF 2000 Certificate.

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Appendix 2

Principles & Application of HACCP

(Adapted from Codex Alimentarius Commission – Food Hygiene Guidelines see Codex 2000)

Preliminary Steps 1. Assemble HACCP team with expertise in product and processes
2. Describe product
3. Identify intended use
4. Construct flow diagram
5. Confirm flow diagram against process in operation (or planned process)

HACCP Principle HACCP Application

1 Conduct a hazard analysis 6. List all potential hazards associated with each step and consider any measures
to control identified hazards.

2 Determine Critical Control Points (CCPs) 7. Determine CCPs.

3 Establish critical limit(s) 8. Establish critical limits and tolerance levels. Determine at what point critical limit
is exceeded based on known limits or risk assessment if unknown.

4 Establish system to monitor control of CCP(s)
5 Establish corrective action to be taken when
monitoring indicates CCP(s) are not under control
9. Establish a monitoring system for CCP that is able to detect loss of control i.e.
when critical limits are exceeded. Consider continuous monitoring and/or
periodic audit.
10. Establish corrective actions that are able to deal with loss of control when it
occurs and is capable of determining when CCP has been brought under
control.

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

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

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Appendix 3
Certifying SQF 2000 Systems
Certification of a SQF 2000 System is conducted by Certification Bodies (Registrars) licensed by SQFI. Certification Bodies are required to meet specific
criterion. SQFI has prepared a document, “SQFI Guidance On the Application of ISO/IEC Guide 65:1996 General Requirements for Certification
Bodies for Certification of SQF Systems” to outline the requirements that SQF Auditors and Certification Bodies must comply with.

In addition SQF Auditors are required to meet all of the following requirements:

1. Completion of HACCP training recognized by an appropriate authority (Recognized HACCP Training)

2. Completion of SQF Systems training recognized by an appropriate authority (Recognized SQF Systems Training)
3. Experience in the food sector being audited
4. Auditing experience
5. Registration as a SQF Food Safety Auditor with SQFI or its nominated agent.

SQF Auditors who audit a SQF 2000 System involving a High Risk Food, in addition to the independent panel review, may be interviewed if necessary
to determine their capability to audit a High Risk Food Category.

Six months after a Certification Audit or Re-certification Audit a Surveillance Audit is conducted. Where seasonal conditions apply, a Re-certification
Audit can be conducted during the main part of the season. Audit frequency may be reduced after the first three years if the Supplier demonstrates a
good audit history (no critical or major non conformities detected during the three year period and an audit rating of G (Good) is maintained). Re
certification audits are conducted annually.

Certification Bodies shall have more detailed information regarding audit frequency and audit requirements.

Conflict of Interest
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 system. The SQF Auditor must disclose to the Certification Body any existing, former or proposed link
between themselves or their organization and the client.

The SQF Program outlines requirements for SQF Auditors and Certification Bodies to ensure that there is no conflict of interest in regard to the way in
which SQF Auditors undertake audits of SQF Systems. 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.
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
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.

*ISO/IEC Guide 62:1996 – Guide 62: General requirements for bodies operating assessment and certification/registration of quality systems.
*ISO/IEC Guide 65:1996 – Guide 65: General requirements for bodies operating product certification systems.

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Appendix 4

SQF 2000 Certification Trade Mark - Rules for Use

The SQF 2000 Certification Trade Mark can be used by a Supplier on product and on Supplier documents that are used for public display. SQFI has
prepared a document “SQF 2000 Certification Trade Mark - Rules for Use” to outline how this Certification Trade Mark is to be used and is available
on the SQF website, http://www.sqfi.com.

Copyright© Food Marketing Institute 2004. All rights reserved

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Notes

Copyright © Food Marketing Institute 2004. All rights reserved

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SQF 2000 Code – Edition 4 Amended April 2004
First published May 1995