QUICK START GUIDE

for SQF
Implementation
www.22000-tools.com

Copyright © 2017 Vinca, LLC.

CONTENTS
WHAT IS SQF?

BENEFITS OF SQF

SQF LEVELS

SQF MODULES

IMPLEMENTING SQF AND PREPARING

FOR CERTIFICATION

ASSIGN YOUR PEOPLE RESOURCES

SQF Practitioner
IMPLEMENTATION: STEP-BY-STEP
Practitioner is Trained on Requirements of
SQF
Practitioner and Management Prepare Proj-
ect Plan
Identify Steering Team
Conduct the Gap Analysis
Identify Task Teams
Train Task Team Members
Train HACCP Team
Complete Detailed Project Plan & Timeline
Document Processes
Review and Approve Documentation
Identify Internal Auditors
Conduct Internal Audits
Management Review Meetings
Run Your System

CERTIFICATION AUDIT
APPENDIX

THE PROJECT PLAN

SQF PROJECT PLAN

THE GAP ANALYSIS

THE SQF STEERING TEAM

THE TASK TEAM MEETINGS

Food processors, WHAT IS SQF?
and food
packaging SQF stands for Safe Quality Food and is a food safety certification
manufacturers, scheme. Once your company implements a food safety system
and others in that meets the requirements of the SQF Code, you will be audited
the industry are by a Third-Party Certification Body. Once they verify that you are
becoming certified meeting the requirements, they will provide your company with
to meet customer your SQF Certification.
demands and to
stay competitive in SQF, by the SQF Insititute, is recognized by GFSI (Global Food
the marketplace. Safety Initiative). This gives you the recognition you need to
supply products to leading manufacturers and retails worldwide.
More and more retailers and manufacturers are asking for GFSI
recognized certification. Food processors, and food packaging
manufacturers, and others in the industry are becoming certified
to meet customer demands and to stay competitive in the market-
place.

SQF Guidance Documents

SQF Documents can be downloaded at the SQFI Website and
include:

• SQF Code
• Guidance for Developing, Documenting and Implement-
ing SQF
• Additional guidance documents
The two main things SQF can do for your organization are to:

• Provide a rigorous system to manage food safety risks and

provide safe products for use by companies in the food
industry.
• Provide a recognized food safety certification. This allows
your customers to have confidence in your food safety
program and know that you have a rigorous food safety
system in place.
Becoming certified BENEFITS OF SQF
can help you stay
competitive and The top reasons sited by our customers and visitors for investigat-
qualified to work ing and pursuing certification are:
with your current Managing Risk
customers as well
First and foremost, building an SQF System will provide your
as to gain access to
company with effective management of food safety hazards by
new ones.
creating an environment capable of producing safe product and a
management system to continually manage, monitor, validate and
improve the system.

Maintain Current Customers

Statistics show that approximately 1 out of 4 certified companies
are asking their suppliers to achieve certification. Chances are that
if you have not been asked yet, you will be asked in the near future.
Becoming certified can help you stay competitive and qualified to
work with your current customers as well as to gain access to new
ones.

Increase your market reach

Large retailers and multinational manufacturers or processors are
also demanding certification of their suppliers. Having SQF Certi-
fication means you are qualified to supply these organizations or
their suppliers, opening up a large market for your products.

Prepare for upcoming regulatory changes

Countries across the globe are making changes to food safety reg-
ulations, including the United States and its Food Safety Modern-
ization Act (FSMA). SQF prepares your organization to meet many
or most of the FSMA requirements.
SQF LEVELS

Companies can select from 3 different levels of SQF Certification.

Food Safety Fundamentals

(Previously called Level 1)
Focused on food safety fundamentals, this is the most basic level
with the fewest requirements. It is most appropriate for low risk
operations. It does not require HACCP. It is not benchmarked by
GFSI.

This level is not recognized by GFSI.

Food Safety Code

(Previously called Level 2)
This level includes food safety fundamentals and a HACCP ap-
proach to managing risks and hazards. This level is comparable
to the ISO 22000, FSSC 22000 and BRC standards and registration
schemes.

New in Edition 8: Instead of using 2 documents (module 2 + an-

other module), you will use one. So, for example:

• if you are using Module 2 + Module 11 in 7.2, you will use

Food Safety Code for Manufacturers in Edition 8.
• if you are using Module 2 + Module 13 in 7.2, you will use
Food safety Code for Manufacture of Packaging Materials
in Edition 8.
This level is recognized by GFSI.

Quality
(Previously called Level 3)
This will include system elements relating to quality. The results
of your quality audit will not affect the score of your food safety
audit.

This level is also recognized by GFSI.

Read more about SQF INDUSTRY SECTORS
the available
industry sectors in There are 5 sectors.
the SQF Code Primary Production (modules 5, 6, 7, 7H, 8) now referred to as
Food Safety Fundamentals)
Manufacturing (Modules 3, 4, 9, 10, 11). Now includes Pet Food
and Animal Feed.
Storage and Distribution (Module 12)
Manufacture of Packaging Materials (Module 13)
Retail (new, Module 15)
IMPLEMENTING SQF AND
PREPARING FOR CERTIFICATION
In a nutshell, here is a list of things you will need to do in order to
become certified to SQF.

Download the Code and Guidance documents free at

http://www.sqfi.com/documents/.
Select the applicable modules for your industry segment and
activities.
Register in the SQF database (http://www.sqfi.com/suppliers/
assessment-database/).
Select a certification body.
Begin implementation:
• Designate and train your SQF Practitioner.
• Designate teams to design, document and implement the
required processes and food safety fundamentals.
• Train your internal audit team.
• Run your system, collect records, perform internal audits,
management review and HACCP team meetings.
• Make corrections and improvements to your system.
• Schedule and complete your audits.
ASSIGN YOUR PEOPLE RESOURCES

SQF Practitioner
An SQF certified company must designate an SQF Practitioner.
This person will be responsible for overseeing the development
and implementation of the system, as well as the maintenance of
the SQF Program. They must be an employee of the company and
be trained on SQF and HACCP.

“Senior site management shall designate an SQF practitioner for each site
with responsibility and authority to:

i. Oversee the development, implementation, review and maintenance

of the SQF System, including food

safety fundamentals outlined in 2.4.2, and the food safety plan outlined
in 2.4.3.

ii. Take appropriate action to ensure the integrity of the SQF System;
and

iii. Communicate to relevant personnel all information essential to en-

sure the effective implementation and maintenance of the SQF System.

2.1.2.5 The SQF practitioner shall:

i. Be employed by the site as a company employee on a full-time basis;

ii. Hold a position of responsibility in relation to the management of

the site’s SQF System;

iii. Have completed a HACCP training course;

iv. Be competent to implement and maintain HACCP based food safety

plans; and

v. Have an understanding of the SQF Food Safety Code for Manufactur-

ing and the requirements to implement and maintain an SQF System
relevant to the site’s scope of certification.

Becoming a Practitioner
To become an SQF Practitioner there are 3 requirements. You will
need to:

1. Be a full time employee in a position of responsibility for

the management of the SQF System. The practitioner may
not be a consultant or contract position.
2. Complete a HACCP Course. This course does not have to
be approved by SQFI, but the practitioner must be compe-
tent to implement and maintain the HACCP system
3. Be trained on and understand the SQF Code. You have
options for the training:
◊ Online Training on the SQF Code
We recommend our Online Complete Training
Package for the Practitioner or our Premium Online
Implementation & Templates Package. Both of these
programs meet requirements for training the practi-
tioner. The Premium Online All-in-One also includes
online training sessions for additional employees
and internal auditors.
◊ Classroom Training Programs
For example Implementing SQF Systems, a 2 day
classroom training (www.sqfi.com).
Use the team Implementation Teams
approach for Our years of experience assisting companies with Management
an efficient Systems Implementation have resulted in a very effective method
implementation. of implementation using a team approach.

As we explain this method, think about how big your organization

is; for smaller organizations we have used “teams” as small as one
or two people. For larger organizations, teams are typically 5 to 7
people.

We recommend using several teams.

SQF Steering Team

Made up of top management and the SQF Practitioner to lead
the project and accomplish management tasks during the
implementation.

HACCP Team
As required by the standard to complete HACCP and Prerequisite
requirements, and led by the SQF Practitioner.

SQF Task Teams

Several Task Teams to design, document and implement the SQF
Food Safety Management System procedures to complete your
system.

The Task Teams that are set up will each look at the requirements
for their process and procedure. They will be responsible for
comparing the requirements of the standard to the current process
used at your company. They will:

• Design a new process, or modify the current process so the

company will be meeting SQF requirements.
• Write a procedure for the new process, and give it to the
SQF Steering Team to review.
• Once the procedure is approved, they will introduce it to
employees, training as needed. The company will then
start using the new process/procedure.
By using the team approach for implementation appropriate
individuals from all parts of the organization are involved in
the project, leading to an effective and efficient Food Safety
Management System.
SQF Steering Team
We use one Team to lead the project, and call this the SQF Steering
Team. The function of the team is very important.

This team will meet on a regular basis during the project to

complete management tasks, monitor progress of the project,
resolve questions from the other teams, allocate the resources
needed for the implementation and coordinate the design of the
new Food Safety Management System (FSMS).

The SQF Steering Team will be made up of top management

representing each of the areas of your company. For example,
include:

• a production manager
• a quality manager
• an administrative manager
• an engineering manager and
• an executive manager
This will give the team the knowledge and authority it needs to
make decisions and devote resources to the project.

The SQF Practitioner and/or project manager for the

implementation project should lead this team. The team leader will
schedule meetings, prepare agendas, and collect information to
bring to the meetings.
IMPLEMENTATION: STEP-BY-STEP

The steps outlined here are recommended steps based on our expe-
rience implementing management system. Adapt them as needed
for your organization. The training programs and documents we
have referenced are all available on our website: www.22000-tools.
com. They are available individually and in our Online Complete
Training Package for the Practitioner or our Premium Online Im-
plementation & Templates Package..

Practitioner is Trained on Requirements of SQF

The Practitioner should understand the SQF Requirements for
both the System Elements (Module 2) and the applicable Food
Safety Fundamentals (the Module that applies to your type of
business).

Practitioner and Management Prepare Project Plan

The practitioner works with the management team to prepare the
project plan. This is detailed in the next section of the quick start
guide.

Identify Steering Team

Management identifies the “SQF Steering Team”. See the example
SQF Steering Team first team meeting agenda and information in
the SQF Steering Team section

Conduct the Gap Analysis

The SQF Practitioner takes the “Conducting the Gap Analysis”
training, downloads the checklists from the training and plans
and leads the Gap Analysis Audit. The Gap Analysis is much like
an Internal Audit. It compares the system you have in place to the
SQF requirements. The requirements that you don’t yet meet need
to be addressed. The Gap will identify those areas.

Identify Task Teams

Based on the Gap Analysis results, the SQF Steering Team
identifies the Task Teams needed to address changes or
implementation of processes for each of the SQF System Elements.
For example:

• Management Commitment
• Document Control and Records
• Specifications andPproduct Development
 • Contract Service Providers and Contract Manufacturers
• Food Legislation
• Good Manufacturing Practices
• Food Safety Plan
• Approved Supplier Program
• Control of Nonconforming Product and Equipment
• Rework
• Finished Product Release
• Validation and Verification
• Corrective and Preventive Action
• Product Sampleing Inspection Analysis
• Internal Audits
• Product Identification Trace Withdrawal and Recall
• Food Defense and Food Fraud
• Allergen Management
• Training
Train Task Team Members
Identify training requirements for those assigned to the Task
Teams. Introduction to SQF is our recommended training for those
team members.

Use the video tutorials that are provided in the Templates and
Tutorials Package, the Complete Training Package, the Premium
Training Package and Corporate Training Package. There is a
tutorial provided for each topic listed below and will educate your
team about the tasks ahead and how to complete them.

Train HACCP Team

Identify training requirements for the HACCP Team. Introduction
to SQF is our recommended training for the HACCP team
members. Team members will also need HACCP Training.

Complete Detailed Project Plan & Timeline

The SQF Steering Team completes the Gantt chart or the project
plan provided in the Complete Training Package with the projected
dates and timelines for the task team activities.
Document Processes
The Task Teams meet as scheduled to complete the changes to and
implementation and documentation of the new processes. Use the
document templates, forms and implementation plans from The
Templates and Tutorials Package, the Complete Training Package,
the Premium Training Package and Corporate Training Package. .

Review and Approve Documentation

The SQF Steering Team reviews and approves all the procedures
and documentation developed by the task teams.

Identify Internal Auditors

The SQF Steering Team identifies individuals to be Internal
Auditors, and prepares an initial internal audit schedule. The
individuals complete Internal Auditor Training”

Conduct Internal Audits

Start the internal audits when the SQF System Elements processes
are completed.

Management Review Meetings

Hold management review meetings, conduct internal audits and
complete corrective actions. Follow the new SQF Procedures that
the task teams developed, maintain records and make improve-
ments.

Run Your System

You will run your system, conduct internal audits and hold
management review meetings for about 3 months. Then you will
be ready for your certification audit.
CERTIFICATION AUDIT

Initial Certification to SQF

Choose an accredited certification body for your organization.
Certification companies are listed on the SQFI website. Once you
have implemented the system your certification body will perform
a Document Review to determine readiness for your next step, the
on-site Audit.

If the audit identifies areas of the system that do not comply with
the SQF Code, you will need to correct nonconformances before
you will be recommended for certification. Once those are correct-
ed and verified your company will be recommended for certifica-
tion. The system will then be monitored by your auditor through
surveillance audits.

The SQF Certification Audit

During the certification audit the SQF Auditor will examine your
SQF System to determine:

• Whether the system has been implemented effectively

• Whether there is evidence of Management Commitment
to the maintenance and improvement of the system
• Whether activities comply with regulatory, customer and
SQF requirements

.
APPENDIX
Use these sample documents as a reference as you implement
your SQF system.
THE PROJECT PLAN
It is important to prepare a project plan to help organize and man-
age the project. A sample project plan template is provided on the
next page. Lets look at how to prepare the plan.

First, identify your project goals. Answer the questions:

1. When will you begin your project? Consider the date of the
Gap Analysis as the beginning date.
2. What is your target date for having the SQF Certification?
You will work backwards from this date as you prepare your
project timeline. Your date should be reviewed later. This
will be your schedule, but as you perform the gap analysis
and develop and the task list , you can determine whether
that date is realistic. It will depend on the status of your
current food safety management system and the resources
available to you as you complete the system.
Second, identify responsibilities for the project.
1. Identify the SQF Practitioner. The SQF Practitioner should
act as project manager for the implementation project.
2. Identify who makes up Senior Management.
3. Identify the SQF Steering Team. As you saw in the steps in
the previous section, the SQF Steering Team plays a key role
in managing the project. The SQF Practitioner should be the
team leader, and senior management should make up the
rest of the team.
Third, start to fill in the timeline for the project.
1. Schedule training for the SQF Practitioner.
2. Schedule the Gap Analysis. Remember that the SQF Prac-
titioner should complete the Gap Analysis Training and
download checklists before the Gap Analysis.
3. Plan anywhere from 2 to 5 days for the Gap Analysis. It will
depend on the size of your company, the number of auditors
and the number and complexity of your processes.
4. Schedule the SQF Steering team meeting to assign the task
team members, and schedule training for the team mem-
bers.
5. Schedule training for the task team members.
6. Announce your project to all employees. Plan a meeting or
meetings to make employees aware of the project, what
 SQF Certification is, and why it is important to the organi-
zation.
7. Document your target completion date and target dates
for your certification audits.

SQF PROJECT PLAN

Project Goals
Start Date
Target for completion
Responsibilities
SQF Practitioner
Senior Management
SQF Steering Team

Timetable
Step Start Date Completion
Target
SQF Practitioner completes oneline training
Conduct Gap Analysis
SQF Steering Team Meetings
Task Team Members are Trained
Announce Project to All Employees
System Complete
Desk Audit
Certification Audit
Certificate in Hand
THE GAP ANALYSIS
Once you have outline the project timeline, it is time to complete
the Gap Analysis and identify the specific tasks that will need to
be done to build your SQF System. The gap analysis will identify
where your current system meets requirements, and where chang-
es and additions to your system must be designed and implement-
ed.

The outcome of the gap analysis will be a task list for your project.
You will assign the tasks to the task teams that you have identified.

1. Complete the “Gap Analysis Checklist & Training” session

to learn how to plan and conduct the gap, what to do with
your results, and download checklists for your audit. Note
that this training is included in the Complete Training
Package.
2. Identify any other auditors that will be involved, and brief
them on the audit plan and techniques.
3. Inform employees that the audit will be taking place, and
the purpose of the audit. You want employees to feel com-
fortable answering auditors questions; understanding the
purpose of the audit will help establish their comfort with
the process.
4. Conduct the audit and document findings on the check-
lists.
5. Create a task list, or use the list provided in the SQF Tem-
plates and Implementation Tools or Complete Training
Package. Where ever you identify requirements that are
not yet being complied with, document a task on the list.
◊ The SQF Templates and Implementation Tools and
Complete Training Packages provide both an overall
project task list, and individual team task lists. If you
have purchased the package, simply add the tasks to
the lists provided. Many common tasks are already
on the individual team task lists as well as infor-
mation on the process requirements and a place to
assign timelines.
6. Provide the appropriate task list to each task team.
THE SQF STEERING TEAM
Once the Gap Analysis has been completed, start your SQF Steering
team meetings. During the first team meeting discuss the respon-
sibilities of the SQF Steering team. If there are members that were
not involved in creating the project plan, review the project plan
and list of steps to implementation.

Proposed agenda for the 1st SQF Steering Team meeting:

1. Review the list of steps to implementation.
2. Review the responsibilities of the SQF Steering Team (these
responsibilities will not all be completed in the first meet-
ing, but should be reviewed to clarify the purpose of the
team.)
◊ Identify task teams and members
◊ Identify training requirements for task team mem-
bers, HACCP team members and employees. Use the
Premium Training and Templates Package to provide
multiple training sessions to train the SQF Practi-
tioner, HACCP Team, Internal Auditors and others.
◊ Meet regularly to monitor the project timeline and
task team activities and provide resources as needed
to meet project goals.
◊ Choose a certification body, and schedule the certifica-
tion audit.
◊ Review procedures and other documentation created
by the task teams.
◊ Review and customize the Management Responsibil-
ity procedure. Complete tasks assigned to manage-
ment.
◊ Assign internal auditors and create an audit schedule.
◊ Resolve issues as they arise.
3. Identify task teams, team leaders and members. Assign
timelines for each team to meet. See our example table in
Appendix A.
THE TASK TEAM MEETINGS
The team leader is responsible for scheduling the meetings accord-
ing to the timeline on the gantt chart. During the first team meet-
ing discuss the purpose of the SQF Steering Team and Task Teams.
Give an introduction to the purpose of the individual Task Team
that is meeting.

Proposed agenda for the first team meeting:

1. View the video tutorial.
2. Review the Master Project Plan Task List and the Imple-
mentation Plan.
3. Review the list of steps for the implementation project.
4. Provide a copy of the procedure and forms templates for
the SQF System Elements process that the team has been
assigned.
5. Review the procedure and forms.
6. Provide a copy of the teams task list. Discuss the tasks that
have been assigned.
7. Discuss the proposed timeline that was assigned by the
SQF Steering team for the task team, and start to assign
dates and responsibilities for the individual tasks on the
list.
8. Determine the frequency of the team meetings, and sched-
ule the next meeting. Prepare the next meetings agenda,
and identify action items to be completed before the next
meeting. Assign responsibility for the action items.
Subsequent meetings:
1. Watch the tutorial in the online training package as a
team.
2. Review the requirements of the SQF Code, and the respon-
sibilities listed in this plan.
3. Review the example procedure and forms. The procedure
describes a process that can be used to address the tasks
on the Master Project Plan. You will use that as a starting
point, and make changes to customize the process for your
organization and method of doing things.
4. Review the tasks on the Master Implementation Plan form
for your team.
5. Set up a team meeting schedule to assign and complete
 these tasks. Meeting weekly or every other week at the
same time is an effective method.
Future Action Items:
1. When the items have been addressed, or plans are in place
to address them, work to revise the procedure to reflect
your new, compliant process. Revise the forms as needed.
2. When completed, submit your new documentation (Proce-
dure, Related Forms, List of Records) and your completed
plan to the SQF Practitioner for review and approval.
3. List any additional records (not listed in the procedure al-
ready) that should be retained for your process on the table
below so they can be incorporated into the records table.
Share this table with the Document Control and Records
team.
SAMPLE PROJECT TIMELINE
Use the timeline on the next page as a sample for creating your
own to plan and track your project progress.
Tasks Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Assign processes to
teams for implemen-
tation
x x
Management Com-
mitment x x x
Document and
Records Control x x x
Specifications and
Product Develop-
ment
x x
Good Manufactur-
ing Processes x x x x
Food Safety Plan x x x
Contract Services
Providers x x
Control of Noncon-
forming Product x x
Rework x x
Finished Product
Release x x
Validation and
Verification x x
Corrective and
Preventive Action x x
Product Sampling
Inspection Analysis x x
Internal Audits x x
Product ID Trace
Withdrawwal and
Recal
x x
Food Defense and
Food Fraud x x
Allergen manage-
ment x x
Training x x
Train Internal Audit
Team x
Employee Training x
Start Internal Audits x
Start Management
Review Meetings x
Document Review by
Certification Body x
Certification Audit x