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5th EDITION • JANUARY 2010

SQF 1000 Code A HACCP Based Supplier Assurance Code for the Primary Producer 5 th 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

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 3 rd 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

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

29

7.1 Genetically Modified Organisms……………………………………………………………………

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

29

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

7.3 Crop Protection………………………………………………………………………………………………

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

49

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

51

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

Appendix 1 Food Sector Categories

56

Appendix 2 SQF 1000 Certificate of Registration

59

Copyright© Food Marketing Institute 2009. All rights reserved

2

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

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 buyer’s food safety and quality requirements and provides the solution for Producers supplying local and global food markets.

Certification of SQF 1000 Systems by a Certification Body is not a statement that the Certification Body guarantees the safety of a Supplier’s food or service. It is not a guarantee that all food safety regulations are being met, or will continue to be met, at all times. It is a statement that the Supplier’s Food Safety Plans have been implemented in accordance with the HACCP Method and applicable regulatory requirements and that they have been validated and verified and determined effective to manage food safety. It is also a statement of the Supplier’s commitment to:

1. Produce safe, quality food.

2. Comply with the requirements of the SQF 1000 Code.

3. Comply with applicable food legislation.

The development of the SQF 1000 Code emphasizes the importance of independent third party assurance of food safety and quality by all sectors of the food industry.

The SQF 1000 Code is divided into three Certification levels. An explanation of each level is provided in Appendix 1. Each Level is designed to indicate the level of development of a Producer’s food safety and quality management system as follows:

Level 1 Food Safety Fundamentals

Level 2 Certified HACCP Based Food Safety Plans

Level 3 Comprehensive Food Safety and Quality Management System

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

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

Copyright© Food Marketing Institute 2009. All rights reserved

3

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

Edition Jan 2010 Mod Jan 10 First published February 2000 LEVEL 1 LEVEL 2 (GFSI Recognition

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 food safety system requirements applied by a Primary Producer for:

The SQF 1000 Code Level 2 outlines the general food safety system requirements applied by a Primary Producer for:

The SQF 1000 Code Level 3 outlines the general food safety and quality system requirements applied by a Primary Producer for:

1. Field packing of fresh produce; and

1. Field packing of fresh produce;

1. Field packing of fresh produce;

2. Pre-farm gate production, harvesting and preparation of primary products intended for further processing.

2. Pre-farm gate production, harvesting and preparation of primary products intended for further processing; and

2. Pre-farm gate production, harvesting and preparation, storage and transport of primary products intended for further processing; and

The scope of SQF 1000 is intended to be primary agricultural producers. Included in this scope for application in produce is the grower/shipper/packer who is packing self-grown product.

3. For the supply of High Risk Foods.

3. The supply of High Risk Foods.

The scope of SQF 1000 is intended to be primary agricultural producers. Included in this scope for application in produce is the grower/shipper/packer who is packing self-grown product.

The scope of SQF 1000 is intended to be primary agricultural producers. Included in this scope for application in produce is the grower/shipper/packer who is packing self-grown product.

High Risk Foods: Where a product is deemed High Risk Food the Producer shall be required to implement an SQF 1000 System meeting the requirements of Level 2 as a minimum.

Examples of High Risk Food include but are not limited to;

1. Food

production of Fresh Produce (raw seed sprouts including bean sprouts and alfalfa sprouts); and

2. Food Sector Category 6; Harvest and Intensive Farming of Fish (oysters and mussels).

Where any requirement(s) of this Code cannot be applied due to the type of production or product (a raw material that will be subject to further Processing), this can be considered for exclusion. Exclusions must be justified in writing to the Certification Body and must not affect the Producer’s ability, or responsibility, to supply product that meets the intent of this Code and customer and regulatory requirements. Exclusions are to be supported by a detailed risk analysis outlining the basis for any exclusion or alternative control measure to demonstrate food safety and quality (level 3) is not compromised.

Category 3; Growing and

Sector

Where any requirement(s) of this Code cannot be applied due to the type of production or product (a raw material that will be subject to further Processing), this can be considered for exclusion. Exclusions must be justified in writing to the Certification Body and must not affect the Producer’s ability, or responsibility, to supply product that meets the intent of this Code and customer and regulatory requirements. Exclusions are to be supported by a detailed risk analysis outlining the basis for any exclusion or alternative control measure to demonstrate food safety and quality (level 3) is not compromised.

be

implemented by entities providing agricultural

contract services to the Primary Producer.

Note: Agricultural contract services includes the provision of cultivation, sowing, spraying and harvesting of a crop, animal husbandry services and the storage and transport of a crop and live animals or advice on the application of these services.

Where any requirement(s) of this Code cannot be applied due to the type of production or product (a raw material that will be subject to further Processing), this can be considered for exclusion. Exclusions may also include other Clauses. Exclusions must be justified in writing to the Certification Body and must not affect the Producer’s ability, or responsibility, to supply product that meets the intent of this Code and customer and regulatory requirements. Exclusions are to be supported by a detailed risk analysis outlining the basis for any exclusion or alternative control measure to demonstrate food safety and quality (level 3) is not compromised.

The SQF 1000 Code Level 3

can

also

Copyright© Food Marketing Institute 2009. All rights reserved

4

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

Edition Jan 2010 Mod Jan 10 First published February 2000 LEVEL 1 LEVEL 2 (GFSI Recognition

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

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

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

3. Definitions

3. Definitions

3. Definitions

For the purpose of this Code the definitions outlined in “SQF Program – Vocabulary” apply.

Note: Words starting with a Capital Letter indicates that the word is further defined in this Vocabulary.

Commercial packing – The packing of product that is grown by multiple farmers, owners, or contract farmers independent of the packing operation in a facility which may or may not be in close proximity to the fields (food sector category 4).

Field packing – The packing of product that is grown by the owner, contract farmer and small number of closely associated growers into finished product packing while in the field, or facilities that are adjacent or in the close proximity to the field (food sector category 3).

For the purpose of this Code the definitions outlined in “SQF Program – Vocabulary” apply.

Note: Words starting with a Capital Letter indicates that the word is further defined in this Vocabulary.

For the purpose of this Code the definitions outlined in “SQF Program – Vocabulary” apply.

Note: Words starting with a Capital Letter indicates that the word is further defined in this Vocabulary.

Pack house – a building which is entirely enclosed with a floor, walls and ceiling in which produce is prepared for final customer package through inspection, rinsing, sorting, washing, and boxing.

Field shed - a temporary or permanent structure adjacent to the field which is meant to prepare or pack produce for final customer packing. Inspection, sorting and boxing are the activities occur within field shed.

Copyright© Food Marketing Institute 2009. All rights reserved

5

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

Edition Jan 2010 Mod Jan 10 First published February 2000 LEVEL 1 LEVEL 2 (GFSI Recognition

LEVEL 1

LEVEL 2 (GFSI Recognition Level)

LEVEL 3 (GFSI & Quality Management)

Copyright© Food Marketing Institute 2009. All rights reserved

6

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

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

Copyright© Food Marketing Institute 2009. All rights reserved

7

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

5th Edition Jan 2010Mod Jan 10 First published February 2000 LEVEL 1 LEVEL 2 (GFSI Recognition

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 ongoing improvement.

effective SQF 1000 System and to support its ongoing improvement.

effective SQF 1000 System and to support its ongoing improvement.

4.1.1 Management Policy

4.1.1

Management Policy

4.1.1

Management Policy

4.1.1.1 The Producer shall, in a Policy Statement, outline a commitment to supply safe food and to comply with its customer and regulatory requirements. The Policy Statement shall be:

i. Signed by Senior Management;

ii. Made available in language understood by all employees; and

iii. Displayed in a prominent position and communicated to all employees.

4.1.1.1 The Producer shall, in a Policy Statement, outline a commitment to supply safe food and define the methods used to comply with its customer and regulatory requirements and to continually improve its food safety management systems. The Policy Statement shall be:

i. Signed by Senior Management;

ii. Made available in language understood by all employees; and

iii. Displayed in a prominent position and communicated to all employees.

4.1.1.1 The Producer shall, in a Policy Statement, outline a commitment to supply safe, quality food, define the methods used to comply with its customer and regulatory requirements and continually improve its food safety and quality management system. The Policy Statement shall be:

i. Signed by Senior Management;

ii. Made available in language understood by all employees; and

iii. Displayed in a prominent position and communicated to all employees.

4.1.2 Management Responsibility

4.1.2

Management Responsibility

4.1.2

Management Responsibility

structure

4.1.2.1 The

describing those who have responsibility for food

safety shall be defined and communicated within the organization.

4.1.2.2 The Producer shall ensure adequate resources are available to support the development, implementation and maintenance of the SQF 1000 System. The Producer shall

designate an SQF Practitioner with responsibility and authority to:

i. Lead the development and implementation of Food Safety Fundamentals outlined in 4.4.2;

ii. Oversee the development, implementation, review and maintenance of the SQF 1000 System; and

organizational

reporting

4.1.2.1 The

describing those who have responsibility for food

safety shall be defined and communicated within the organization.

4.1.2.2 The Producer shall ensure adequate resources are available to support the development, implementation, maintenance and ongoing improvement of the SQF 1000 System.

The Producer shall designate an SQF Practitioner with responsibility and authority to:

structure

organizational

reporting

i. Lead the development and implementation of Food Safety Fundamentals outlined in 4.4.2; and the Food Safety Plan outlined in 4.4.3;

ii. Oversee the development, implementation, review and maintenance of the SQF 1000

4.1.2.1 The organizational reporting structure describing those who have responsibility for food safety and quality and their interrelationship shall be defined and communicated within the organization.

4.1.2.2 The Producer shall ensure adequate resources are available to achieve its food safety and quality objectives and to support the development, implementation and maintenance and ongoing improvement of the SQF 1000 System. The Producer shall designate an SQF Practitioner with responsibility and authority to:

i. Lead the development and implementation of Food Safety Fundamentals outlined in 4.4.2, the Food Safety Plan outlined in 4.4.3 and the

Copyright© Food Marketing Institute 2009. All rights reserved

8

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

5th Edition Jan 2010Mod Jan 10 First published February 2000 LEVEL 1 LEVEL 2 (GFSI Recognition

LEVEL 1

LEVEL 2 (GFSI Recognition Level)

LEVEL 3 (GFSI & Quality Management)

iii. Take appropriate action to ensure the integrity of the SQF 1000 System.

4.1.2.3 The Producer shall establish and implement the training needs of the organization.

4.1.2.4 All employees shall be informed of their responsibility to report food safety problems to personnel with authority to initiate action.

System; and

iii. Take appropriate action to ensure the integrity of the SQF 1000 System.

for establishing and

implementing the training needs of the organization shall be defined and documented.

4.1.2.4 All employees shall be informed of their

responsibility to report food safety problems to personnel with authority to initiate action.

4.1.2.5 Job descriptions for those responsible for

food safety and quality shall be documented and include provision to cover for the absence of key personnel

4.1.2.3 The

responsibility

Food Quality Plan outlined in 4.4.4;

ii. Oversee the development, implementation, review and maintenance of the SQF 1000 System; and

iii. Take appropriate action to maintain the integrity of the SQF 1000 System.

for establishing and

implementing the training needs of the organization shall be defined and documented.

4.1.2.3 The

responsibility

4.1.2.4 All employees shall be informed of their

responsibility to report food safety and quality problems to personnel with authority to initiate action.

4.1.2.5 Job descriptions for those responsible for

food safety and quality shall be documented and

include provision to cover for the absence of key

personnel.

4.1.3

Food Safety Management System

 

4.1.3

Food Safety Management System

 

4.1.3

Food Safety and Quality Management System

4.1.3.1 A Food Safety

Manual

shall

be

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 employees and include:

documented, maintained made available to relevant employees and include:

The

i. Policy

Statement

and

Organization

i. The

Policy

Statement

and

Organization

Chart;

Chart;

ii. The Scope of the Certification;

iii. A list of the products covered under the Scope of Certification; and

iv. The written Food Safety Fundamentals, Pre-requisite Programs and other documentation necessary to support the development, implementation, maintenance and control of the SQF 1000 System.

ii. The Scope of the Certification;

iii. A list of the products covered under the Scope of Certification; and

iv. The written Food Safety Fundamentals, Pre-requisite Programs, Food Safety Plans and other documentation necessary to support the development, implementation, maintenance and control of the SQF 1000 System.

documented, maintained made available to relevant employees and include;

i. The Policy Statement and Organization Chart;

ii. The Scope of the Certification;

iii. A list of the products covered under the Scope of Certification; and

iv. The written Food Safety Fundamentals, Pre- requisite Programs, Food Safety Plans and Food Quality Plans and other procedures and documentation necessary to support the development, implementation, maintenance 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 reviewing the SQF 1000 System.

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 and documenting

reviewing the SQF 1000 System and documenting

4.1.4.2 The SQF 1000 System in its entirety shall be reviewed at least annually.

the review procedure.

4.1.4.2 The SQF 1000 System in its entirety shall

the review procedure.

4.1.4.2 The SQF 1000 System in its entirety shall

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9

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

5th Edition Jan 2010Mod Jan 10 First published February 2000 LEVEL 1 LEVEL 2 (GFSI Recognition

LEVEL 1

LEVEL 2 (GFSI Recognition Level)

LEVEL 3 (GFSI & Quality Management)

4.1.4.3 Food Safety Fundamentals outlined in

4.4.2 shall be reviewed when any changes implemented have an impact on the Producer’s

ability to deliver safe food.

4.1.4.4 The SQF Practitioner shall be responsible

for validating any changes to Food Safety Fundamentals outlined in 4.4.2 that have an impact on the Producer’s ability to deliver safe food.

Note: The Producer can utilize the services of an SQF Consultant to assist in the validation and verification activities outlined in 4.1.4.4.

4.1.4.5 Records of all reviews and changes to the

SQF 1000 System shall be maintained.

be reviewed at least annually.

4.1.4.3 Food Safety Fundamentals outlined in

4.4.2 and Food Safety Plans shall be reviewed when any changes implemented have an impact on

the Producer’s ability to deliver safe food.

4.1.4.4 The SQF Practitioner shall be responsible

for validating any major changes to Food Safety Fundamentals outlined in 4.4.2 and Food Safety Plans that have an impact on the Producer’s ability to deliver safe food.

Note: The Producer can utilize the services of an SQF Consultant to assist in the validation and verification activities outlined in 4.1.4.4.

4.1.4.5 Records of all reviews and changes to the

SQF 1000 System shall be maintained.

be reviewed at least annually.

4.1.4.3 Food Safety Fundamentals outlined in

4.4.2, Food Safety Plans and Food Quality Plans shall be reviewed when any changes implemented have an impact on the Producer’s ability to deliver safe, quality food.

4.1.4.4 The SQF Practitioner shall be responsible

for validating any major changes to Food Safety Fundamentals outlined in 4.4.2, Food Safety Plans and Food Quality Plans that have an impact on the Producer’s ability to deliver safe food.

Note: The Producer can utilize the services of an SQF Consultant to assist in the validation and verification activities outlined in 4.1.4.4.

4.1.4.5 Records of all reviews and changes to the

SQF 1000 System shall be maintained.

4.1.5

Complaint Management

4.1.5

Complaint Management

4.1.5

Complaint Management

 

Not applicable at this Level 1

4.1.5.1 The methods and responsibility for handling and investigating the cause and resolution of customer complaints shall be documented and implemented.

4.1.5.1

The

methods

and

responsibility

for

handling and investigating the cause and resolution of customer complaints shall be documented and implemented.

4.1.5.2 Records of customer complaints and their

investigations shall be maintained.

4.1.5.2 Records of customer complaints and their

investigations shall be maintained.

4.2 Document Control and Records

4.2

Document Control and Records

4.2

Document Control and Records

4.2.1

Document Control

 

4.2.1

Document Control

4.2.1

Document Control

4.2.1.1

A

list

of

current

SQF

1000 System

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

readily accessible.

maintaining document control shall be documented

and implemented.

4.2.1.2 A register of current SQF 1000 System

documents and amendments to documents shall be maintained. Documents shall be safely stored and

readily accessible.

maintaining document control shall be documented

and implemented.

4.2.1.2 A register of current SQF 1000 System

documents and amendments to documents shall be maintained. Documents shall be safely stored and

readily accessible.

4.2.2

Records

4.2.2

Records

4.2.2

Records

 

4.2.2.1

All records shall be legible and signed and

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,

Copyright© Food Marketing Institute 2009. All rights reserved

10

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

5th Edition Jan 2010Mod Jan 10 First published February 2000 LEVEL 1 LEVEL 2 (GFSI Recognition

LEVEL 1

LEVEL 2 (GFSI Recognition Level)

LEVEL 3 (GFSI & Quality Management)

demonstrate inspections, analyses and other essential activities have been completed.

4.2.2.2 Records shall be securely stored to

prevent damage and deterioration and shall be retained in accordance with periods specified by a customer or legislation (regulation).

demonstrate inspections, analyses and other essential activities have been completed.

4.2.2.2 Records shall be securely stored to prevent

damage and deterioration and shall be retained in accordance with periods specified by a customer or legislation (regulation).

maintaining and retaining records shall be documented and implemented.

4.2.2.2 All records shall be legible, signed and

dated by those undertaking monitoring activities to

demonstrate that inspections, analyses and other 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 documented and kept current.

Note: Raw materials include but are not limited to ingredients, chemicals, antibiotics, seed, cultivars, premix compounded and medicated animal feed and soil amendments (chemical and organic).

that impact on finished product safety shall be documented and kept current.

4.3.1.2 A register of raw material specifications

shall be maintained.

Note: Raw materials include but are not limited to ingredients, chemicals, antibiotics, seed, cultivars, premix compounded and medicated animal feed and soil amendments (chemical and organic).

that impact on finished product safety and quality shall document and keep current.

4.3.1.2 A register of raw material specifications

shall be maintained.

Note: Raw materials include but are not limited to ingredients, chemicals, antibiotics, seed, cultivars, premix compounded and medicated animal feed and soil amendments (chemical and organic).

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 that impact on finished product safety shall be provided, comply with the relevant legislation and kept current.

4.3.2.1 Specifications for all packaging materials that impact on finished product safety shall be provided and comply with the relevant legislation.

4.3.2.2 The functionality of packaging material

shall be validated to ensure product safety is not compromised and the material is fit for its intended

purpose and suitable for use.

4.3.2.3 A register of packaging specifications and

label approvals shall be maintained and kept current.

that impact on finished product safety and quality

shall be provided and comply with the relevant legislation.

4.3.2.2 The methods and responsibility for

developing and approving detailed specifications and labels for all packaging shall be documented.

4.3.2.3 The functionality of packaging material

shall be validated to ensure product safety and quality is not compromised and the material is fit for its intended purpose and suitable for use.

4.3.2.4 A register of packaging specifications and

label approvals shall be maintained and kept current.

Copyright© Food Marketing Institute 2009. All rights reserved

11

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

5th Edition Jan 2010Mod Jan 10 First published February 2000 LEVEL 1 LEVEL 2 (GFSI Recognition

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 impact on finished product safety shall be documented, current, include a full description of the service to be provided and detail relevant training requirements of contract personnel.

Note: Contract Services include but are not limited to pest control contractors, harvesting contractors, spray contractors, crop protection plan development consultants, animal health plan development consultants and transport contractors.

4.3.3.1 Specifications for contract services that impact on finished product safety shall be documented, current, include a full description of the service to be provided and detail relevant training requirements of contract personnel.

service

specifications shall be maintained.

Note: Contract Services include but are not limited to pest control contractors, harvesting contractors, spray contractors, crop protection plan development consultants, animal health plan development consultants and transport contractors.

4.3.3.2 A register of

all

contract

4.3.3.1 Specifications for contract services that impact on finished product safety and quality shall be documented, current, include a full description of the service to be provided and detail relevant training requirements of contract personnel.

4.3.3.2 A register of all contract service specifications shall be maintained.

Note: Contract Services include but are not limited to pest control contractors, harvesting contractors, spray contractors, crop protection plan development consultants, animal health plan development consultants and transport contractors.

4.3.4 Finished Product

4.3.4

Finished Product

4.3.4

Finished Product

4.3.4.1 Finished product specifications shall be documented, current, formally agreed with the customer, and accessible to relevant employees.

Note: Finished product Specifications can also include production by-products that are used for further processing E.g. reject apples for the manufacture of apple juice.

4.3.4.1 Finished product specifications shall be documented, current, formally agreed with the customer, and accessible to relevant employees.

4.3.4.2 A register of finished product specifications shall be maintained.

Note: Finished product Specifications can also include production by-products that are used for further processing E.g. reject apples for the manufacture of apple juice production.

4.3.4.1 Finished product specifications shall be documented, current, formally agreed with the customer, and accessible to relevant employees.

4.3.4.2 A register of finished product specifications shall be maintained.

Note: Finished product Specifications can also include production by-products that are used for further processing E.g. reject apples for the manufacture of apple juice production.

4.4 Attaining Food Safety

4.4

Attaining Food Safety

4.4

Attaining Food Safety

4.4.1 Food Legislation (Regulation)

4.4.1

Food Legislation (Regulation)

4.4.1

Food Legislation (Regulation)

The Producer shall ensure that, at the time of delivery to its customer, the product supplied shall comply with the food safety legislation that applies to the product and its production in the country of its origin and destination.

Note: In addition to meeting food safety standards outlined in the legislation Producers will also need to demonstrate compliance with legislative requirements applicable to trade weights and

The Producer shall ensure that, at the time of delivery to its customer, the product supplied shall comply with the food safety legislation that applies to the product and its production in the country of its origin and destination.

Note: In addition to meeting food safety standards outlined in the legislation Producers will also need to demonstrate compliance with legislative requirements applicable to trade weights and

The Producer shall ensure that, at the time of delivery to its customer, the product supplied shall comply with the food safety legislation that applies to the product and its production in the country of its origin and destination.

Note: In addition to meeting food safety standards outlined in the legislation Producers will also need to demonstrate compliance with legislative requirements applicable to trade weights and

Copyright© Food Marketing Institute 2009. All rights reserved

12

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

5th Edition Jan 2010Mod Jan 10 First published February 2000 LEVEL 1 LEVEL 2 (GFSI Recognition

LEVEL 1

LEVEL 2 (GFSI Recognition Level)

LEVEL 3 (GFSI & Quality Management)

measures, Minimum Regulatory Limits (MRL’s), packaging (if used), product description and related labeling declarations.

measures, Minimum Regulatory Limits (MRL’s), packaging (if used), product description and related labeling declarations.

measures, Minimum Regulatory Limits (MRL’s), packaging (if used), product description and related labeling declarations.

4.4.2 Food Safety Fundamentals

4.4.2

Food Safety Fundamentals

4.4.2

Food Safety Fundamentals

The Producer shall make provision to ensure fundamental food safety practices are adopted and maintained.

4.4.2.1 The property, buildings and equipment

shall be located, constructed and designed to facilitate the proper production, handling and storage of safe product.

Senior management shall make provision to ensure fundamental food safety practices are adopted and maintained.

equipment

4.4.2.1 The

shall be located, constructed and designed to facilitate the proper production, handling and storage of safe product.

property, buildings

and

Senior management shall make provision to ensure fundamental food safety practices are adopted and maintained.

equipment

4.4.2.1 The

shall be located, constructed and designed to facilitate the proper production, handling and storage of safe product.

property, buildings

and

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

the site and the source, storage and use of production inputs that may impact on the Producers ability to deliver safe product shall be undertaken and control measures implemented.

4.4.2.3 Critical limits associated with the control

measures identified in 4.4.2.2 shall be validated and verified by the SQF Practitioner.

Note 2: The Supplier can utilize the services of an SQF Consultant to assist in the validation and verification activities outlined in 4.4.2.2/3.

4.4.2.4 Those Pre-requisite Programs applicable

to the Scope of Certification that outline the means by which food safety is controlled and assured shall be documented and implemented.

Note 3: The Pre-requisite Program requirements outlined in this clause 4.4.2.4 are further described in detail under Section 6.0.

4.4.2.5 Pre-requisite Programs shall be validated

and verified as described in 4.5.

Note 4: The Supplier can utilize the services of an SQF Consultant to assist in the validation and verification activities outlined in 4.4.2.5.

4.4.2.2 An analysis of the hazards associated with

the site and the source, storage and use of production inputs that may impact on the Producers ability to deliver safe product shall be undertaken and control measures implemented.

4.4.2.3 Critical limits associated with the control

measures identified in 4.4.2.2 shall be validated and verified by the SQF Practitioner.

Note 2: The Supplier can utilize the services of an SQF Consultant to assist in the validation and verification activities outlined in 4.4.2.2/3.

4.4.2.4 Those Pre-requisite Programs applicable to

the Scope of Certification that outline the means by which food safety is controlled and assured shall be documented and implemented.

Note 3: The Pre-requisite Program requirements outlined in this clause 4.4.2.4 are further described in detail under Section 6.0.

4.4.2.5 Pre-requisite Programs shall be validated

and verified as described in 4.5.

Note 4: The Supplier can utilize the services of an SQF Consultant to assist in the validation and verification activities outlined in 4.4.2.5.

4.4.2.2 An analysis of the hazards associated with

the site and the source, storage and use of production inputs that may impact on the Producers ability to deliver safe product shall be undertaken and control measures implemented.

4.4.2.3 Critical limits associated with the control

measures identified in 4.4.2.2 shall be validated and verified by the SQF Practitioner.

Note 2: The Supplier can utilize the services of an SQF Consultant to assist in the hazard analysis, validation and verification activities outlined in

4.4.2.2/3.

4.4.2.4 Those Pre-requisite Programs applicable to

the Scope of Certification that outline the means by which food safety is controlled and assured shall be documented and implemented.

Note 3: The Pre-requisite Program requirements outlined in this clause 4.4.2.4 are further described in detail under Section 6.0.

4.4.2.5 Pre-requisite Programs shall be validated

and verified as described in 4.5.

Note 4: The Supplier can utilize the services of an SQF Consultant to assist in the validation and verification activities outlined in 4.4.2.5.

Copyright© Food Marketing Institute 2009. All rights reserved

13

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

5th Edition Jan 2010Mod Jan 10 First published February 2000 LEVEL 1 LEVEL 2 (GFSI Recognition

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 which the Producer will control and assure food safety shall be prepared. The Food Safety Plan shall outline the results of a hazard analysis conducted to identify food safety hazards (including allergens and other contaminants). It shall prescribe the measures taken to apply those critical controls implemented to assure, monitor and maintain food safety. The Food Safety Plans shall:

i. Be prepared in accordance with the HACCP Method; and

4.4.3.1 A Food Safety Plan outlining the means by which the Producer will control and assure food safety shall be prepared. The Food Safety Plan shall outline the results of a hazard analysis conducted to identify food safety hazards (including allergens and other contaminants). It shall prescribe the measures taken to apply those critical controls implemented to assure, monitor and maintain food safety. The Food Safety Plans shall:

i. Be prepared in accordance with the HACCP Method; and

ii. Cover

a

product

(e.g.

a

crop,

produce,

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 Practices (SOPs) and Work Instructions (WIs) applicable to the organizations Scope of Certification.

Note 1: A Reference Food Safety Plan developed by a responsible authority can be used as the basis for the preparation of the Producers Food Safety Plan. However the Producer must ensure the Food Safety Plan implemented reflects those production activities carried out.

4.4.3.2 Food Safety Plans Shall be effectively developed, implemented and maintained; and validated and verified as described in 4.5.

Note 2: The Producer can utilize the services of an SQF Consultant to assist the validation and verification activities outlined in 4.4.3.2.

iii. Include documented Standard Operating Practices (SOPs) and Work Instructions (WIs) applicable to the organizations Scope of Certification.

Note 1: A Reference Food Safety Plan developed by a responsible authority can be used as the basis for the preparation of the Producers Food Safety Plan. However the Producer must ensure the Food Safety Plan implemented reflects those production activities carried out.

4.4.3.2 Food Safety Plans Shall be effectively developed, implemented and maintained; and validated and verified as described in 4.5.

Note 2: The Producer can utilize the services of an SQF Consultant to utilize the validation and 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

Copyright© Food Marketing Institute 2009. All rights reserved

14

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

5th Edition Jan 2010Mod Jan 10 First published February 2000 LEVEL 1 LEVEL 2 (GFSI Recognition

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.

Copyright© Food Marketing Institute 2009. All rights reserved

15

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

5th Edition Jan 2010Mod Jan 10 First published February 2000 LEVEL 1 LEVEL 2 (GFSI Recognition

LEVEL 1

LEVEL 2 (GFSI Recognition Level)

LEVEL 3 (GFSI & Quality Management)

4.4.5

Incoming Goods and Services

4.4.5.1

Raw materials and services that impact

on finished product safety shall be inspected or

analyzed before use in emergency circumstances or supplied by an Approved Supplier.

4.4.5.2 Inspections and analyses shall conform to

the requirements outlined in 4.5.

4.4.6 Corrective and Preventive Action

4.4.6.1 Corrective Action shall be managed and controlled.

4.4.6.2 Records of Corrective Action taken shall

be maintained.

4.4.5

Incoming Goods and Services

4.4.5

Incoming Goods and Services

4.4.5.1

Raw materials and services that impact on

4.4.5.1

Raw materials and services that impact on

finished product safety shall be inspected or analyzed before use in emergency circumstances or supplied by an Approved Supplier.

4.4.5.2 Inspections and analyses shall conform to

the requirements outlined in 4.5.

4.4.5.3 The selection, approval and monitoring of

Approved Suppliers shall conform to the

requirements outlined in 6.11.

4.4.6 Corrective and Preventive Action

4.4.6.1 The responsibility and methods outlining

how Corrections and Corrective Action is managed

and controlled shall be documented and implemented.

4.4.6.2 Records of all investigation and resolution

of Corrections and Corrective Action shall be maintained.

finished product safety and quality shall be inspected or analyzed before use in emergency circumstances or supplied by an Approved Supplier.

4.4.5.2 Inspections and analyses shall conform to

the requirements outlined in 4.5.

4.4.5.3 The selection, approval and monitoring of

Approved Suppliers shall conform to the

requirements outlined in 6.11.

4.4.6 Corrective and Preventive Action

4.4.6.1 The responsibility and methods outlining how Corrections and Corrective Action is managed and controlled shall be documented and implemented.

4.4.6.2 Records of all investigation and resolution

of Corrections and Corrective Action shall be maintained.

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 risk of inadvertent use, improper use or risk to the

integrity of finished product.

4.4.7.2 Records of the handling and disposal of

non-conforming product are maintained.

how non-conforming product identified during receipt, storage, growing, packing, handling or delivery is isolated and identified shall be documented and implemented. The procedure must document the grower, field name, quantity and final disposition of the unacceptable materials when applicable. The methods applied shall ensure:

i. Non-conforming product or equipment is identified, handled and disposed of in a manner that minimizes the risk of inadvertent use, improper use or risk to the integrity of finished product; and

ii. Records of the handling and disposal of non- conforming product are maintained.

how non-conforming product identified during receipt, storage, growing, packing, handling or delivery is isolated and identified shall be documented and implemented. The procedure must document the grower, field name, quantity and final disposition of the unacceptable materials when applicable. The methods applied shall ensure:

i. Non-conforming product or equipment is identified, handled and disposed of in a manner that minimizes the risk of inadvertent use, improper use or risk to the integrity of finished product; and

ii. Records of the handling and disposal of non- conforming product are maintained.

Copyright© Food Marketing Institute 2009. All rights reserved

16

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

5th Edition Jan 2010Mod Jan 10 First published February 2000 LEVEL 1 LEVEL 2 (GFSI Recognition

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

4.5.1.1 Verification activities outlined in 4.5 shall be the responsibility of the SQF Practitioner.

4.5.1.2 The frequency and methods used to validate and verify critical limits established for those hazards associated with the source, storage and use of production inputs, and the application of Pre-requisite Programs shall be documented and implemented.

4.5.1.3 Records of all verification activities shall be maintained.

4.5.1 Responsibility, Frequency and Methods

4.5.1.1 Verification activities outlined in 4.5 shall be

the responsibility of the SQF Practitioner.

4.5.1.2 The frequency and methods used to verify

critical limits established for those hazards associated with the source, storage and use of production inputs, and the application of Pre- requisite Programs shall be documented and implemented.

4.5.1.3 The frequency and methods used to verify

that each critical control point and other food safety controls identified in Food Safety Plans achieve their intended purpose, and are controlled as

designated shall be documented and implemented. Also SQF Practitioner must confirm that:

i. Verification that inspection, tests and

analysis occurred as planned and that a responsible person reviewed the results and initiated corrective action as required; and

ii. Verification that monitoring activities are

carried out as planned.

4.5.1.4 Records of all verification activities shall be

4.5.1 Responsibility, Frequency and Methods

4.5.1.1 Verification activities outlined in 4.5 shall be

the responsibility of the SQF Practitioner.

4.5.1.2 The frequency and methods used to verify

critical limits established for those hazards associated with the source, storage and use of production inputs, and the application of Pre- requisite Programs shall be documented and implemented.

4.5.1.3 The frequency and methods used to verify

that each critical control point and other food safety and quality controls identified in Food Safety Plans and Food Quality Plans achieve their intended

purpose, and are controlled as designated shall be documented and implemented. Also SQF Practitioner must confirm that:

i. Verification that inspection, tests and

analysis occurred as planned and that a responsible person reviewed the results and initiated corrective action as required; and

ii. Verification that monitoring activities are

carried out as planned.

 

maintained.

4.5.1.4

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, storage and use of production inputs and the correct application of Pre-requisite Programs, and other food safety controls shall be undertaken.

validation of the critical limits established for those hazards identified in Food Safety Fundamentals, Pre-requisite Programs, Food Safety Plans and other food safety controls established shall be documented and implemented.

4.5.2.2 Validation activities shall include:

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

validation of the critical limits established for those hazards identified in Food Safety Fundamentals, Pre-requisite Programs, Food Safety Plans, Food Quality Plans and other food safety and quality controls established shall be documented and implemented.

4.5.2.2 Validation activities shall include:

i.

Validation and re-validation of the critical

those hazards

limits established for

Copyright© Food Marketing Institute 2009. All rights reserved

17

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

5th Edition Jan 2010Mod Jan 10 First published February 2000 LEVEL 1 LEVEL 2 (GFSI Recognition

LEVEL 1

LEVEL 2 (GFSI Recognition Level)

LEVEL 3 (GFSI & Quality Management)

4.5.3 Internal Audits

4.5.3.1 Regular inspections to verify the effectiveness of the SQF 1000 System shall be completed. The Producer shall:

i. Take action to correct any deficiencies found; and

ii. Maintain records of inspections and any action arising from inspections.

inputs and Pre-requisite Programs and described in Food Safety Plans;

ii.

Validation

that

any

change

to

process

or

procedure is

still

effective

in controlling

identified hazards.

4.5.2.3 Validation activities

responsibility of the SQF Practitioner.

4.5.2.4 Records of all validation activities shall be

maintained.

the

shall

be

4.5.3 Internal Audits

4.5.3.1 Regular internal audits to verify the effectiveness of the SQF 1000 System shall be documented and implemented. The Producer shall:

i. Identify

conducting

who

is

responsible

for

internal audits;

ii. Take appropriate and timely action correct any deficiencies found; and

iii. Maintain records of internal audits and any actions arising from internal audits.

associated with the source, storage and use of production inputs and Pre-requisite Programs and described in Food Safety Plans and Food Quality Plans;

ii. Validation that any change to process or

still effective in controlling

procedure is

identified hazards.

4.5.2.3 The methods, responsibility and criteria for 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

4.5.3.1 Regular internal audits to verify the effectiveness of the SQF 1000 System shall be documented and implemented. The Producer shall:

i. Identify who is responsible for conducting internal audits;

ii. Take appropriate and timely action correct any deficiencies found; and

iii. Maintain records of internal audits and any action arising from internal audits.

4.6 Product Identification, Trace, 4.6 Product Identification, Trace, 4.6 Product Identification, Trace,
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

4.6.1.1 A product identification system shall be implemented to ensure:

i. Product is clearly identifiable during all stages of receipt, production, storage and dispatch;

ii. Finished product is labeled to the customer specification and/or regulatory requirements; and

iii. Product identification records shall be

4.6.1 Product Identification

4.6.1.1 A product identification system shall be implemented to ensure:

i. Product is clearly identifiable during all stages of receipt, production, storage and dispatch;

ii. Finished product is labeled to the customer specification and/or regulatory requirements; and

iii. Product identification records shall be

4.6.1

Product Identification

4.6.1.1 The methods and responsibility for identifying product during all stages of production and storage shall be documented and implemented. The product identification system shall be implemented to ensure:

i. Product is clearly identifiable during all stages of receipt, production, storage and dispatch;

ii. Finished product is labeled to the customer

Copyright© Food Marketing Institute 2009. All rights reserved

18

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

5th Edition Jan 2010Mod Jan 10 First published February 2000 LEVEL 1 LEVEL 2 (GFSI Recognition

LEVEL 1

LEVEL 2 (GFSI Recognition Level)

LEVEL 3 (GFSI & Quality Management)

maintained.

4.6.2 Product Trace

4.6.2.1 A

implemented to ensure:

i. Finished product is traceable to the customer (one up) and provides traceability through the process to raw materials and other inputs (including services performed) (one back);

trace

be

product

system

shall

ii. Traceability is maintained where product is reworked, repacked and downgraded; and

iii. Records of product dispatch and destination are maintained.

maintained.

4.6.2 Product Trace

4.6.2.1 A

implemented to ensure:

i. Finished product is traceable to the customer (one up) and provides traceability through the process to raw materials and other inputs (including services performed) (one back);

trace

be

product

system

shall

ii. Traceability is maintained where product is reworked, repacked and downgraded; and

iii. Records of product dispatch and destination are maintained.

specification and/or regulatory requirements; and

be

maintained.

iii. Product

identification

records

shall

4.6.2 Product Trace

4.6.2.1 The responsibility and methods used to

trace product shall be documented and implemented to ensure:

i. Finished product is traceable to the customer (one up) and provides traceability through the process to raw materials and other inputs (including services performed) (one back);

ii. Traceability is maintained where product is reworked, repacked and downgraded; and

iii. Records of product dispatch and destination are maintained.

4.6.3 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, managing and investigating a product withdrawal or recall;

i. Identify those responsible for initiating, managing and investigating a product withdrawal or recall;

ii. Describe the management procedures to be implemented; and

iii. Outline the methods used to ensure customers and other essential bodies are notified in a timely manner appropriate to the nature of the incident.

4.6.3.2 Records of all product withdrawal and recalls shall be maintained.

ii. Describe the management procedures to be implemented; and

iii. Outline the methods used to ensure

customers and other essential bodies are notified in a timely manner appropriate to the nature of the incident.

4.6.3.2 Investigation shall be undertaken to

determine the cause of a withdrawal / recall and details of investigations and any action taken shall

be documented. 4.6.3.3The 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.

Copyright© Food Marketing Institute 2009. All rights reserved

19

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

5th Edition Jan 2010Mod Jan 10 First published February 2000 LEVEL 1 LEVEL 2 (GFSI Recognition

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

4.7.1.1 The Producer shall implement systems to restrict access to a crop during growing and harvest so as to minimize adulteration caused by deliberate acts of sabotage or terrorist like incidents.

4.7.1.2 A food defense protocol shall be prepared and include:

i. The name of the person responsible for Food Defense;

ii. The methods to ensure only authorized vehicles / personal have access to crop, packing, equipment and storage areas;

iii. The methods implemented to secure Hazardous Chemicals, packaging and harvesting equipment and protect crop from intentional adulteration;

iv. The measures to ensure harvested crop is held under secure storage; and

v. The methods used to record and control access of employees, contractors, and visitors to the property.

4.7.1 Food Defense

4.7.1.1 The Producer shall implement systems to restrict access to a crop during growing and harvest so as to minimize adulteration caused by deliberate acts of sabotage or terrorist like incidents.

4.7.1.2 A food defense protocol shall be prepared and include:

i. The name of the person responsible for Food Defense;

ii. The methods to ensure only authorized vehicles / personal have access to crop, packing, equipment and storage areas;

iii. The methods implemented to secure Hazardous Chemicals, packaging and harvesting equipment and protect crop from intentional adulteration;

iv. The measures to ensure harvested crop is held under secure storage; and

v. The methods used to record and control access of employees, contractors, and visitors to the property.

4.7.1 Food Defense

4.7.1.1 The Producer shall implement systems to restrict access to a crop during growing and harvest so as to minimize adulteration caused by deliberate acts of sabotage or terrorist like incidents.

4.7.1.2 A food defense protocol shall be prepared and include:

i. The name of the person responsible for Food Defense;

ii. The methods to ensure only authorized vehicles / personal have access to crop, packing, equipment and storage areas;

iii. The methods implemented to secure Hazardous Chemicals, packaging and harvesting equipment and protect crop from intentional adulteration;

iv. The measures to ensure harvested crop is held under secure storage; and

v. The methods used to record and control access of employees, contractors, and visitors to the property.

Copyright© Food Marketing Institute 2009. All rights reserved

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

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

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 First published February 2000

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

5.5.1.2 Floors shall be constructed of smooth, dense impact resistant material that is impervious to liquid

and easily cleaned. Floors shall be effectively graded, to allow the effective removal of all overflow or

waste water under normal conditions.

5.5.1.3 Wall, ceilings, doors, frames and hatches shall be of a solid construction. Internal surfaces shall

be smooth and impervious with a light colored finish.

5.5.1.4 Lighting shall be provided with protective covers.

5.5.1.5 Chilling and cold storage facilities shall be fitted with temperature monitoring equipment or

suitable temperature monitoring device that is located so as to monitor the warmest part of the room and

is fitted with a temperature gauge that is easily readable and accessible.

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

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

5.5.2

Dry Storage

5.5.2.1

Silo’s and other un-refrigerated storage facilities shall be constructed of approved materials and

designed to maintain dry goods in an acceptable condition, enable safe fumigation practices and prevent the invasion of pests.

5.5.3

Storage of Packaging

5.5.3.1

Packaging storage facilities shall be constructed and designed to maintain packaging dry, clean

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

5.5.4

Storage of Utensils

5.5.4.1

Storage rooms shall be designed and constructed to allow for the separate, hygienic storage of

harvesting and packing utensils away from farm machinery and hazardous chemicals and toxic substances.

5.5.5

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

5.5.5.1

Product contact surfaces on conveyors, harvesting and processing rigs shall be designed and

constructed to allow for the efficient handling of product and those surfaces in direct contact with product

shall be constructed of materials that will not contribute a food safety risk.

5.5.5.2 Processing aids including knives, totes, trays, conveyors, containers and other equipment shall be

constructed of materials that are non-toxic, smooth, impervious and easily cleaned.

5.5.5.3 Provision shall be made for the washing and storage of processing rigs, equipment, conveyors,

totes, trays containers and utensils.

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

processing rigs.

5.5.6

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

5.5.6.1

Hazardous chemicals, toxic substances, animal medicines and petroleum products shall be stored

so as not to present a hazard to employees, product, product handling equipment or areas in which product is handled, stored or transported.

5.5.6.2 Product contact chemicals such as pesticides and herbicides; rodenticides, fumigants and

insecticides; sanitizers and detergents; shall be stored separately and in their original containers.

5.5.6.3 Chemical storage sheds shall:

i. Be compliant with national and local legislation and designed such that there is no cross- contamination between chemicals;

ii. Be ventilated to the exterior;

iii. Be provided with appropriate signage indicating the area is a hazardous storage area;

iv. Be secure and lockable to restrict access only to those personnel with formal training in the handling and use of chemicals;

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

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

vii. Have suitable first aid equipment and protective clothing available in the storage area;

viii. Have emergency shower and/or wash facilities available in the event of an accidental spill; and

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

x. Be equipped with spillage kits and cleaning equipment.

5.5.6.4 Animal medicines shall be stored under refrigerated conditions in accordance with the

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

Copyright© Food Marketing Institute 2009. All rights reserved

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

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

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.

Copyright© Food Marketing Institute 2009. All rights reserved

23

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

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

5.7.1.5 Water used in the packing shed or field to wash produce must be potable. Water potability test

results must be reviewed and kept on file by the SQF Practitioner.

5.7.1.6 Hand wash stations must be available to all employees working in a pack house or field packing

environment. If packing is performed in a building or structure, hand wash stations must be located where

employees enter and exit the work area.

5.7.1.7 Trash removed from field packing operations must be transported out of the field in a separate

vehicle. Trash may not come in contact with cases of fresh produce.

5.7.2

Employee Practices

5.7.2.1

Employees working in the Pack house must comply with the personal hygiene and good

manufacturing requirements outlined in section 6.1.

5.7.2.2 Appropriate signage must be posted near entrances, hand washing stations, restrooms and break

areas reminding employees to comply with Good Manufacturing Practices.

5.7.2.3 Employees must have a designated area for storage of personal belongings. The area must not be

on or next to product or product contact surfaces.

5.7.2.4 Employee break areas must be separate from the packing area. If the produce is field packed,

employees must take break outside the immediate growing area.

5.7.3

Tools

5.7.3.1

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

5.7.3.2

Knives and tools coming in contact with the produce surface and/or product contact equipment

must be cleaned and sanitized at a scheduled frequency. Documentation of the cleaning process and

sanitizer concentration must be available for review.

5.7.3.3 Knives and tools may not be taken to the employee’s car or home during breaks. They may not

be stored with an employee’s personal possessions during harvesting.

5.7.3.4 Knives and tools must be inspected and accounted for before and after each packing date for

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

5.7.3.5 Tools used by Maintenance personnel must be clean, sanitary and corrosion-free. If a tool holster

is used the holster must be cleanable and able to be placed in the sanitizer solution container.

5.7.4

Equipment

5.7.4.1

Conveyors, flumes, sorting tables and other product contact equipment must be designed and

constructed of materials that are approved for use in a food production facility. The contact surface must

not have flaking paint that could contaminate the produce.

5.7.4.2 Lubricants used on or near product contact equipment must be food grade and not made of

allergenic ingredients unless addressed in an allergen management program. Excess lubricant must be removed prior to packing produce.

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

5.7.4.4 Scales used in the field or packing shed must be calibrated on scheduled basis. Documented

results of the calibration must be available for review.

5.7.4.5 Automatic injection equipment of water sanitizers (i.e. Chlorine, Chlorine Dioxide, Peracetic Acid,

etc) must be calibrated and verified on a scheduled basis.

5.7.4.6

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

5.7.5

Monitoring

5.7.5.1

The site must maintain documentation of the field and quadrant harvested. Appropriate

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

5.7.5.2 Flume water treated with chemicals (i.e. Chlorine, Chlorine Dioxide, Peracetic Acid) must be

monitored on a pre-determined basis to verify compliance with the target range. Monitoring may include pH, ppm, ORP and/or temperature.

5.7.5.3 If temperature is monitored, the site must use a calibrated probe to verify the temperature.

Calibration records must be maintained for all thermometers used by the site.

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

must be documented

5.7.5.5

The site must ship product using FIFO methods

5.7.6

Sanitation

5.7.6.1

Food contact equipment surfaces must be cleaned and sanitized on a daily basis during the

packing season. The site must also maintain a schedule of tasks completed at frequencies other than

daily.

Copyright© Food Marketing Institute 2009. All rights reserved

24

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

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

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.

Copyright© Food Marketing Institute 2009. All rights reserved

25

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

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

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;

Copyright© Food Marketing Institute 2009. All rights reserved

26

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

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

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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27

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

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

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

Copyright© Food Marketing Institute 2009. All rights reserved

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

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

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 2 nd 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.

Copyright© Food Marketing Institute 2009. All rights reserved

29

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

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

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

Copyright© Food Marketing Institute 2009. All rights reserved

30

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

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

7.0 GLOBAL GAP Criteria

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

7.1

Genetically Modified Organisms

7.1.1

The planting of or trials with GMO’s must comply with all applicable legislation in the country of

production. The Producer must have a copy of the legislation applicable in the country of production.

7.1.2

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

7.1.3

Specific husbandry and management advice must be obtained.

7.2

Fertilizer

7.2.1

Applications of all fertilizers, both organic and inorganic, must be recorded. Documents must

include the following:

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

ii. Application Date

iii. Trade name of the Fertilizer

iv. Type of Fertilizer

v. Concentration

vi. Quantity Applied

vii. Application Machinery

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

7.2.2 For all fertilizers, Organic and Inorganic, a stock inventory or record of use must be maintained and

available for review. The inventory must be updated at least every 3 months.

7.2.3 A physical barrier must be present in storage locations to prevent cross contamination between

fertilizers and plant protection products. Fertilizers applied with Plant Protection products (i.e. micronutrients or foliar fertilizers) are packed in a sealed container it can be stored with plant protection products.

7.2.4 Inorganic fertilizers must be stored in a covered area. The covered area must be sufficient to protect

the fertilizer from sunlight, frost and rain. Fertilizer may not be stored directly on the ground, with the

exception of Lime and Gypsum, which may be stored for one to two days before spreading.

7.2.5 Fertilizer storage may not pose a risk to water sources and must be surrounded by an impermeable

barrier (as per national and local legislation). Consideration, via risk analysis, must be given to the proximity of water courses and flood risks.

7.3 Crop Protection

7.3.1 Crop protection products must be appropriate and can be justified for the pest, disease, weed or

target of the plant protection product (PPP) intervention. Technically valid (legal) “off label” uses supported by the PPP industry in writing are allowable. Evidence of the official approval for use of that PPP must be available for review.

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

7.3.3 Applications of crop protection and post harvest products must be recorded. Documentation must

include the following:

i. Geographical area

ii. Applied location

iii. Product Crop

iv. Invoices of purchased chemicals

v. Target pest, disease or weed

vi. Application Date

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

viii. Tradename

ix. Type of Crop Protection

x. Active Ingredient

Copyright© Food Marketing Institute 2009. All rights reserved

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

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

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